SEC Form 4 · accession 0001209191-18-007608
OTONOMY, INC. · OTIC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul E Cayer
Officer — Ch. Financial & Business Offcr
Period of report
Feb 1, 2018
Accepted (ET)
Feb 5, 2018 · 5:37 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001493566
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2,F1 | $5.80 | Feb 1, 2018 | A | 130,000 | A | — | Jan 31, 2028 | Common Stock | 130,000 | 130,000 | D |
Explanation of responses
- F1One-fourth (1/4) of the shares subject to the option vest on February 1, 2019 and one forty-eighth (1/48) of the shares vest monthly thereafter.
- F2In addition to the options acquired as set forth in Table II, the Reporting Person currently holds options to purchase up to an aggregate of 406,215 shares of common stock, which options vest according to their terms.