0001209191-16-151770.txt : 20161122 0001209191-16-151770.hdr.sgml : 20161122 20161122175736 ACCESSION NUMBER: 0001209191-16-151770 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161118 FILED AS OF DATE: 20161122 DATE AS OF CHANGE: 20161122 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Otonomy, Inc. CENTRAL INDEX KEY: 0001493566 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 262590070 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 6275 NANCY RIDGE DRIVE STREET 2: SUITE 100 CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: (858) 242-5200 MAIL ADDRESS: STREET 1: 6275 NANCY RIDGE DRIVE STREET 2: SUITE 100 CITY: SAN DIEGO STATE: CA ZIP: 92121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LeBel Carl CENTRAL INDEX KEY: 0001439275 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36591 FILM NUMBER: 162014334 MAIL ADDRESS: STREET 1: 23256 MARIPOSA DE ORO CITY: MALIBU STATE: CA ZIP: 90265 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-11-18 0 0001493566 Otonomy, Inc. OTIC 0001439275 LeBel Carl C/O OTONOMY, INC. 6275 NANCY RIDGE DRIVE, SUITE 100 SAN DIEGO CA 92121 0 1 0 0 Chief Scientific Officer Common Stock 2016-11-18 4 M 0 3543 6.33 A 13001 D Common Stock 2016-11-18 4 M 0 5626 3.17 A 18627 D Common Stock 2016-11-18 4 S 0 9169 18.0721 D 9458 D Common Stock 2016-11-21 4 M 0 1456 3.17 A 10914 D Common Stock 2016-11-21 4 S 0 1456 18.065 D 9458 D Employee Stock Option (right to buy) 6.33 2016-11-18 4 M 0 3543 0.00 D 2024-06-30 Common Stock 3543 31891 D Employee Stock Option (right to buy) 3.17 2016-11-18 4 M 0 5626 0.00 D 2020-11-19 Common Stock 5626 14259 D Employee Stock Option (right to buy) 3.17 2016-11-21 4 M 0 1456 0.00 D 2020-11-19 Common Stock 1456 12803 D The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. The sale price reported in column 4 of Table I represents the weighted average sale price of the shares sold ranging from $17.95 to $18.20 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price. One-fourth of the shares subject to the option vested on April 23, 2015 and one forty-eighth of the shares vest monthly thereafter. In addition to the remaining options to purchase 44,694 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. One-fourth of the shares subject to the option vested on November 19, 2011 and one forty-eighth of the shares vest monthly thereafter. /s/ Eric J. Loumeau, by power of attorney 2016-11-22