Initial Statement of Beneficial Ownership (3)
April 20 2021 - 6:21PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Foster Alan Charles |
2. Date of Event Requiring Statement (MM/DD/YYYY)
4/16/2021
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3. Issuer Name and Ticker or Trading Symbol
OTONOMY, INC. [OTIC]
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(Last)
(First)
(Middle)
C/O OTONOMY, INC., 4796 EXECUTIVE DRIVE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Scientific Officer / |
(Street)
SAN DIEGO, CA 92121
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 51403 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (right to buy) | (2) | 1/19/2028 | Common Stock | 35000 | $5.675 | D | |
Stock Option (right to buy) | (2) | 1/19/2028 | Common Stock | 15000 | $5.675 | D | |
Stock Option (right to buy) | (2) | 1/19/2028 | Common Stock | 17000 | $5.675 | D | |
Stock Option (right to buy) | (2) | 1/19/2028 | Common Stock | 20000 | $5.675 | D | |
Stock Option (right to buy) | 2/1/2019 (3) | 2/1/2028 | Common Stock | 70000 | $5.80 | D | |
Stock Option (right to buy) | 1/15/2020 (3) | 1/15/2029 | Common Stock | 80000 | $2.02 | D | |
Stock Option (right to buy) | 1/15/2021 (3) | 1/15/2030 | Common Stock | 80000 | $3.54 | D | |
Stock Option (right to buy) | 1/15/2022 (3) | 1/15/2031 | Common Stock | 60000 | $5.20 | D | |
Explanation of Responses: |
(1) | Includes 50,000 Restricted Stock Units ("RSUs"). Twenty-five percent (25%) of the RSUs will vest on the one (1) year anniversary of March 23, 2021 (the "Vesting Commencement Date") and seventy-five percent (75%) of the RSUs will vest on the two-year anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service as of each such vesting date. |
(2) | The shares subject to the option are fully vested and exercisable. |
(3) | One-fourth (1/4) of the shares subject to the option vest on the one (1) year anniversary of the Vesting Commencement Date, and one forty-eighth (1/48) of the shares vest monthly thereafter, subject to the Reporting Person's continued service as of each such vesting date. |
Remarks: Exhibit 24 - Power of Attorney |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Foster Alan Charles C/O OTONOMY, INC. 4796 EXECUTIVE DRIVE SAN DIEGO, CA 92121 |
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| Chief Scientific Officer |
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Signatures
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/s/ Paul E. Cayer, by power of attorney | | 4/20/2021 |
**Signature of Reporting Person | Date |
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