SEC Form 4 · accession 0001209191-16-140652

OTONOMY, INC. · OTIC

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Scientific Officer

Period of report

Sep 6, 2016

Accepted (ET)

Sep 8, 2016 · 6:55 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001493566

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Common Stock^F1	Dec 1, 2015	A	263	$13.60	A	9,183	D
Common Stock^F1	Jun 1, 2016	A	275	$13.1325	A	9,458	D
Common Stock	Sep 6, 2016	M	12,133	$6.33	A	21,591	D
Common Stock	Sep 6, 2016	M	3,813	$6.33	A	25,404	D
Common Stock	Sep 6, 2016	M	5,304	$3.17	A	30,708	D
Common Stock	Sep 6, 2016	S	12,133	$17.95	D	18,575	D
Common Stock	Sep 6, 2016	S	3,813	$17.95	D	14,762	D
Common Stock	Sep 6, 2016	S	5,304	$17.95	D	9,458	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F4,F3	$6.33	Sep 6, 2016	M	15,946	D	—	Jun 30, 2024	Common Stock	15,946	35,434	D
Employee Stock Option (right to buy)^F4,F5	$3.17	Sep 6, 2016	M	5,304	D	—	Nov 19, 2020	Common Stock	5,304	19,885	D

F1Acquired pursuant to the Issuer's 2014 Employee Stock Purchase Plan.
F2The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
F3One-fourth of the shares subject to the option vested on April 23, 2015 and one forty-eighth of the shares vest monthly thereafter.
F4In addition to the remaining options to purchase 55,319 shares of common stock as set forth in Table II, the Reporting Person also holds options to purchase up to an aggregate of 239,392 shares of common stock, which options vest according to their terms.
F5One-fourth of the shares subject to the option vested on November 19, 2011 and one forty-eighth of the shares vest monthly thereafter.