SEC Form 4 · accession 0001209191-19-004361
OTONOMY, INC. · OTIC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Katherine Mary Bishop
Officer — Chief Scientific Officer
Period of report
Jan 15, 2019
Accepted (ET)
Jan 17, 2019 · 6:01 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2,F1 | $2.02 | Jan 15, 2019 | A | 215,000 | A | — | Jan 14, 2029 | Common Stock | 215,000 | 215,000 | D |
Explanation of responses
- F1One-fourth (1/4) of the shares subject to the option vest on January 15, 2020 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 255,000 shares of common stock, which options vest according to their terms.