Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| OTONOMY, INC.OTIC · Entity 116495 | Director | June 21, 2022 | June 23, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
OTONOMY, INC.
Report date June 21, 2022 · Filed June 23, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.95 · Expires 2032-06-20 | Direct | 27,500 |
Reported balance
After 2022-06-21 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-06-21 · Grant · Acquired 27,500 · Balance 27,500 F1: 100% of the shares subject to the option shall vest upon the earlier of (i) the one year anniversary of the grant date, and (ii) the date of the Issuer's next annual meeting of stockholders occurring after the grant date, provided that the Reporting Person remains a service provider through such date. |
Filing footnotes · ownership attribution and instrument terms
F1: 100% of the shares subject to the option shall vest upon the earlier of (i) the one year anniversary of the grant date, and (ii) the date of the Issuer's next annual meeting of stockholders occurring after the grant date, provided that the Reporting Person remains a service provider through such date.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Janux Therapeutics, Inc.
Report date September 13, 2024 · Filed October 24, 2024
Section 16 reporting ended · disclosed 2024-10-24. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 7,000 |
Ending reported balance
After 2024-09-13 transaction · row 5
5 source rows · reconciled sequenceRow 1 · 2024-09-13 · Exercise / conversion · Acquired 1,868 · Balance 8,868 Row 2 · 2024-09-13 · Exercise / conversion · Acquired 778 · Balance 9,646 Row 3 · 2024-09-13 · Exercise / conversion · Acquired 778 · Balance 10,424 Row 4 · 2024-09-13 · Exercise / conversion · Acquired 391 · Balance 10,815 Row 5 · 2024-09-13 · Sale · Disposed 3,815 · Balance 7,000 |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.00 · Expires 2027-07-19 | Direct | 27,138 |
Reported balance
After 2024-09-13 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2024-09-13 · Exercise / conversion · Disposed 1,868 · Balance 27,138 F4: Immediately exercisable. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.73 · Expires 2027-07-19 | Direct | 11,308 |
Reported balance
After 2024-09-13 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2024-09-13 · Exercise / conversion · Disposed 778 · Balance 11,308 F4: Immediately exercisable. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.22 · Expires 2027-07-19 | Direct | 11,308 |
Reported balance
After 2024-09-13 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2024-09-13 · Exercise / conversion · Disposed 778 · Balance 11,308 F4: Immediately exercisable. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $39.80 · Expires 2027-07-19 | Direct | 7,682 |
Reported balance
After 2024-09-13 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2024-09-13 · Exercise / conversion · Disposed 391 · Balance 7,682 F4: Immediately exercisable. |
| Common StockSEC Table I · non-derivative | IndirectBy Avalon Ventures XI, L.P. | 2,959,175 |
Reported balance
Holding disclosure · report date 2024-09-13 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 2,959,175 F1: The securities are directly held by Avalon Ventures XI, L.P. ("Avalon Ventures"). Avalon Ventures XI GP, LLC ("Avalon XI GP") is the general partner of Avalon Ventures and may be deemed to beneficially own the securities held by Avalon Ventures. The Reporting Person is a managing member of Avalon XI GP and shares voting and investment power with respect to the securities held by Avalon Ventures. The Reporting Persons disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy Avalon BioVentures I, LP | 573,227 |
Reported balance
Holding disclosure · report date 2024-09-13 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 573,227 F2: The securities are directly held by Avalon BioVentures I, LP ("ABV I"). Avalon BioVentures GP LLC ("ABV GP") is the general partner of ABV I and may be deemed to beneficially own the securities held by ABV I. The Reporting Person is a managing member of ABV GP and shares voting and investment power with respect to the securities held by ABV I. The Reporting Persons disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy Avalon BioVentures SPV I, L.P. | 3,021,414 |
Reported balance
Holding disclosure · report date 2024-09-13 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 3,021,414 F3: The securities are directly held by Avalon BioVentures SPV I, LP ("ABV SPV"). ABV SPV I GP LLC ("ABV SPV GP") is the general partner of ABV SPV and may be deemed to beneficially own the securities held by ABV SPV. The Reporting Person is a managing member of ABV SPV GP and shares voting and investment power with respect to the securities held by ABV SPV. The Reporting Persons disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are directly held by Avalon Ventures XI, L.P. ("Avalon Ventures"). Avalon Ventures XI GP, LLC ("Avalon XI GP") is the general partner of Avalon Ventures and may be deemed to beneficially own the securities held by Avalon Ventures. The Reporting Person is a managing member of Avalon XI GP and shares voting and investment power with respect to the securities held by Avalon Ventures. The Reporting Persons disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.
F2: The securities are directly held by Avalon BioVentures I, LP ("ABV I"). Avalon BioVentures GP LLC ("ABV GP") is the general partner of ABV I and may be deemed to beneficially own the securities held by ABV I. The Reporting Person is a managing member of ABV GP and shares voting and investment power with respect to the securities held by ABV I. The Reporting Persons disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.
F3: The securities are directly held by Avalon BioVentures SPV I, LP ("ABV SPV"). ABV SPV I GP LLC ("ABV SPV GP") is the general partner of ABV SPV and may be deemed to beneficially own the securities held by ABV SPV. The Reporting Person is a managing member of ABV SPV GP and shares voting and investment power with respect to the securities held by ABV SPV. The Reporting Persons disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.
F4: Immediately exercisable.
Synthorx, Inc.
Report date January 23, 2020 · Filed January 24, 2020
Section 16 reporting ended · disclosed 2020-01-24. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Avalon Ventures X, L.P. | 0 |
Reported balance
After 2020-01-23 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-01-23 · Other · Disposed 150,000 · Balance 0 F1: The Reporting Person is a managing member of Avalon Ventures X GP LLC and Avalon Ventures X SPV GP LLC, the general partners of Avalon Ventures X, L.P. and Avalon X SPV I, L.P., and shares voting and investment power with respect to the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P. The Reporting Person disclaims beneficial ownership of the shares held by Avalon Ventures X, L.P., Avalon Ventures X GP LLC and Avalon X SPV I, L.P., except to the extent of his actual pecuniary interest therein if any. |
| Common StockSEC Table I · non-derivative | IndirectBy Avalon Ventures X GP, LLC | 0 |
Reported balance
After 2020-01-23 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2020-01-23 · Other · Disposed 448,567 · Balance 0 F1: The Reporting Person is a managing member of Avalon Ventures X GP LLC and Avalon Ventures X SPV GP LLC, the general partners of Avalon Ventures X, L.P. and Avalon X SPV I, L.P., and shares voting and investment power with respect to the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P. The Reporting Person disclaims beneficial ownership of the shares held by Avalon Ventures X, L.P., Avalon Ventures X GP LLC and Avalon X SPV I, L.P., except to the extent of his actual pecuniary interest therein if any. |
| Common StockSEC Table I · non-derivative | IndirectBy Avalon X SPV I, L.P. | 0 |
Reported balance
After 2020-01-23 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2020-01-23 · Other · Disposed 1,682,086 · Balance 0 F1: The Reporting Person is a managing member of Avalon Ventures X GP LLC and Avalon Ventures X SPV GP LLC, the general partners of Avalon Ventures X, L.P. and Avalon X SPV I, L.P., and shares voting and investment power with respect to the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P. The Reporting Person disclaims beneficial ownership of the shares held by Avalon Ventures X, L.P., Avalon Ventures X GP LLC and Avalon X SPV I, L.P., except to the extent of his actual pecuniary interest therein if any. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.00 · Expires 2028-12-05 | Direct | 0 |
Reported balance
After 2020-01-23 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-01-23 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: This option, which provided for vesting of the shares in equal monthly installments over the 12 months following December 6, 2018, was cancelled in connection with the merger of the Issuer with Sanofi's wholly owned subsidiary in exchange for a cash payment of $1,710,000.00, representing the difference between the exercise price of the option and the market value of the underlying common stock of the Issuer on the effective date of the merger ($68). |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.40 · Expires 2029-06-06 | Direct | 0 |
Reported balance
After 2020-01-23 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-01-23 · Disposition to issuer · Disposed 15,335 · Balance 0 F3: This option, which provided for vesting of the shares in equal monthly installments over the 12 months following June 7, 2019, such that the option would be fully vested on the date of the Issuer's next annual stockholder meeting, was cancelled in connection with the merger of the Issuer with Sanofi's wholly owned subsidiary in exchange for a cash payment of $852,626.00, representing the difference between the exercise price of the option and the market value of the underlying common stock of the Issuer on the effective date of the merger ($68). |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a managing member of Avalon Ventures X GP LLC and Avalon Ventures X SPV GP LLC, the general partners of Avalon Ventures X, L.P. and Avalon X SPV I, L.P., and shares voting and investment power with respect to the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P. The Reporting Person disclaims beneficial ownership of the shares held by Avalon Ventures X, L.P., Avalon Ventures X GP LLC and Avalon X SPV I, L.P., except to the extent of his actual pecuniary interest therein if any.
F2: This option, which provided for vesting of the shares in equal monthly installments over the 12 months following December 6, 2018, was cancelled in connection with the merger of the Issuer with Sanofi's wholly owned subsidiary in exchange for a cash payment of $1,710,000.00, representing the difference between the exercise price of the option and the market value of the underlying common stock of the Issuer on the effective date of the merger ($68).
F3: This option, which provided for vesting of the shares in equal monthly installments over the 12 months following June 7, 2019, such that the option would be fully vested on the date of the Issuer's next annual stockholder meeting, was cancelled in connection with the merger of the Issuer with Sanofi's wholly owned subsidiary in exchange for a cash payment of $852,626.00, representing the difference between the exercise price of the option and the market value of the underlying common stock of the Issuer on the effective date of the merger ($68).
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 31, 2017 Filed Sep 5, 2017 18:38 UTC | OTONOMY, INC. OTIC · Entity 116495 | Exercise / conversionWarrant to Purchase Common Stock (Right to Buy) · Derivative | 14,106 | $0.00 Strike: $14.18 | $0.00 |
DisclosureSEC source: 0000899243-17-021482 · doc4.xml · derivative · entry 12 Lichter Jay · CIK 0001376355 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 14,106 shares Expires 2020-05-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: On August 31, 2017, Avalon Ventures VIII, L.P. ("Avalon VIII LP") exercised certain warrants to purchase an aggregate of 141,060 shares of the Issuer's common stock at an exercise price of $14.18 per share. Avalon VIII LP paid the exercise price of the warrants on a cashless basis, resulting in the Issuer's withholding of 108,851 of the shares of common stock to pay the exercise price and the issuance to Avalon VIII LP of 32,209 shares. F2 · ownership.nature: The reported securities are held of record by Avalon VIII LP. The Reporting Person is a managing director of Avalon Ventures VIII GP, LLC, the general partner of Avalon VIII LP, and disclaims beneficial ownership of the securities held by Avalon VIII LP except to the extent of any pecuniary interest therein. Read SEC document |
| August 31, 2017 Filed Sep 5, 2017 18:38 UTC | OTONOMY, INC. OTIC · Entity 116495 | Exercise / conversionWarrant to Purchase Common Stock (Right to Buy) · Derivative | 14,106 | $0.00 Strike: $14.18 | $0.00 |
DisclosureSEC source: 0000899243-17-021482 · doc4.xml · derivative · entry 11 Lichter Jay · CIK 0001376355 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 14,106 shares Expires 2020-04-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: On August 31, 2017, Avalon Ventures VIII, L.P. ("Avalon VIII LP") exercised certain warrants to purchase an aggregate of 141,060 shares of the Issuer's common stock at an exercise price of $14.18 per share. Avalon VIII LP paid the exercise price of the warrants on a cashless basis, resulting in the Issuer's withholding of 108,851 of the shares of common stock to pay the exercise price and the issuance to Avalon VIII LP of 32,209 shares. F2 · ownership.nature: The reported securities are held of record by Avalon VIII LP. The Reporting Person is a managing director of Avalon Ventures VIII GP, LLC, the general partner of Avalon VIII LP, and disclaims beneficial ownership of the securities held by Avalon VIII LP except to the extent of any pecuniary interest therein. Read SEC document |
| August 31, 2017 Filed Sep 5, 2017 18:38 UTC | OTONOMY, INC. OTIC · Entity 116495 | Exercise / conversionWarrant to Purchase Common Stock (Right to Buy) · Derivative | 14,106 | $0.00 Strike: $14.18 | $0.00 |
DisclosureSEC source: 0000899243-17-021482 · doc4.xml · derivative · entry 10 Lichter Jay · CIK 0001376355 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 14,106 shares Expires 2020-01-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: On August 31, 2017, Avalon Ventures VIII, L.P. ("Avalon VIII LP") exercised certain warrants to purchase an aggregate of 141,060 shares of the Issuer's common stock at an exercise price of $14.18 per share. Avalon VIII LP paid the exercise price of the warrants on a cashless basis, resulting in the Issuer's withholding of 108,851 of the shares of common stock to pay the exercise price and the issuance to Avalon VIII LP of 32,209 shares. F2 · ownership.nature: The reported securities are held of record by Avalon VIII LP. The Reporting Person is a managing director of Avalon Ventures VIII GP, LLC, the general partner of Avalon VIII LP, and disclaims beneficial ownership of the securities held by Avalon VIII LP except to the extent of any pecuniary interest therein. Read SEC document |
| August 31, 2017 Filed Sep 5, 2017 18:38 UTC | OTONOMY, INC. OTIC · Entity 116495 | Exercise / conversionWarrant to Purchase Common Stock (Right to Buy) · Derivative | 14,106 | $0.00 Strike: $14.18 | $0.00 |
DisclosureSEC source: 0000899243-17-021482 · doc4.xml · derivative · entry 9 Lichter Jay · CIK 0001376355 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 14,106 shares Expires 2019-12-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: On August 31, 2017, Avalon Ventures VIII, L.P. ("Avalon VIII LP") exercised certain warrants to purchase an aggregate of 141,060 shares of the Issuer's common stock at an exercise price of $14.18 per share. Avalon VIII LP paid the exercise price of the warrants on a cashless basis, resulting in the Issuer's withholding of 108,851 of the shares of common stock to pay the exercise price and the issuance to Avalon VIII LP of 32,209 shares. F2 · ownership.nature: The reported securities are held of record by Avalon VIII LP. The Reporting Person is a managing director of Avalon Ventures VIII GP, LLC, the general partner of Avalon VIII LP, and disclaims beneficial ownership of the securities held by Avalon VIII LP except to the extent of any pecuniary interest therein. Read SEC document |
| August 31, 2017 Filed Sep 5, 2017 18:38 UTC | OTONOMY, INC. OTIC · Entity 116495 | Exercise / conversionWarrant to Purchase Common Stock (Right to Buy) · Derivative | 14,106 | $0.00 Strike: $14.18 | $0.00 |
DisclosureSEC source: 0000899243-17-021482 · doc4.xml · derivative · entry 8 Lichter Jay · CIK 0001376355 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 14,106 shares Expires 2019-10-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: On August 31, 2017, Avalon Ventures VIII, L.P. ("Avalon VIII LP") exercised certain warrants to purchase an aggregate of 141,060 shares of the Issuer's common stock at an exercise price of $14.18 per share. Avalon VIII LP paid the exercise price of the warrants on a cashless basis, resulting in the Issuer's withholding of 108,851 of the shares of common stock to pay the exercise price and the issuance to Avalon VIII LP of 32,209 shares. F2 · ownership.nature: The reported securities are held of record by Avalon VIII LP. The Reporting Person is a managing director of Avalon Ventures VIII GP, LLC, the general partner of Avalon VIII LP, and disclaims beneficial ownership of the securities held by Avalon VIII LP except to the extent of any pecuniary interest therein. Read SEC document |
| August 31, 2017 Filed Sep 5, 2017 18:38 UTC | OTONOMY, INC. OTIC · Entity 116495 | Exercise / conversionWarrant to Purchase Common Stock (Right to Buy) · Derivative | 14,106 | $0.00 Strike: $14.18 | $0.00 |
DisclosureSEC source: 0000899243-17-021482 · doc4.xml · derivative · entry 7 Lichter Jay · CIK 0001376355 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 14,106 shares Expires 2019-07-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: On August 31, 2017, Avalon Ventures VIII, L.P. ("Avalon VIII LP") exercised certain warrants to purchase an aggregate of 141,060 shares of the Issuer's common stock at an exercise price of $14.18 per share. Avalon VIII LP paid the exercise price of the warrants on a cashless basis, resulting in the Issuer's withholding of 108,851 of the shares of common stock to pay the exercise price and the issuance to Avalon VIII LP of 32,209 shares. F2 · ownership.nature: The reported securities are held of record by Avalon VIII LP. The Reporting Person is a managing director of Avalon Ventures VIII GP, LLC, the general partner of Avalon VIII LP, and disclaims beneficial ownership of the securities held by Avalon VIII LP except to the extent of any pecuniary interest therein. Read SEC document |
| August 31, 2017 Filed Sep 5, 2017 18:38 UTC | OTONOMY, INC. OTIC · Entity 116495 | Exercise / conversionWarrant to Purchase Common Stock (Right to Buy) · Derivative | 14,106 | $0.00 Strike: $14.18 | $0.00 |
DisclosureSEC source: 0000899243-17-021482 · doc4.xml · derivative · entry 6 Lichter Jay · CIK 0001376355 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 14,106 shares Expires 2019-04-13 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: On August 31, 2017, Avalon Ventures VIII, L.P. ("Avalon VIII LP") exercised certain warrants to purchase an aggregate of 141,060 shares of the Issuer's common stock at an exercise price of $14.18 per share. Avalon VIII LP paid the exercise price of the warrants on a cashless basis, resulting in the Issuer's withholding of 108,851 of the shares of common stock to pay the exercise price and the issuance to Avalon VIII LP of 32,209 shares. F2 · ownership.nature: The reported securities are held of record by Avalon VIII LP. The Reporting Person is a managing director of Avalon Ventures VIII GP, LLC, the general partner of Avalon VIII LP, and disclaims beneficial ownership of the securities held by Avalon VIII LP except to the extent of any pecuniary interest therein. Read SEC document |
| August 31, 2017 Filed Sep 5, 2017 18:38 UTC | OTONOMY, INC. OTIC · Entity 116495 | Exercise / conversionWarrant to Purchase Common Stock (Right to Buy) · Derivative | 14,106 | $0.00 Strike: $14.18 | $0.00 |
DisclosureSEC source: 0000899243-17-021482 · doc4.xml · derivative · entry 5 Lichter Jay · CIK 0001376355 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 14,106 shares Expires 2019-01-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: On August 31, 2017, Avalon Ventures VIII, L.P. ("Avalon VIII LP") exercised certain warrants to purchase an aggregate of 141,060 shares of the Issuer's common stock at an exercise price of $14.18 per share. Avalon VIII LP paid the exercise price of the warrants on a cashless basis, resulting in the Issuer's withholding of 108,851 of the shares of common stock to pay the exercise price and the issuance to Avalon VIII LP of 32,209 shares. F2 · ownership.nature: The reported securities are held of record by Avalon VIII LP. The Reporting Person is a managing director of Avalon Ventures VIII GP, LLC, the general partner of Avalon VIII LP, and disclaims beneficial ownership of the securities held by Avalon VIII LP except to the extent of any pecuniary interest therein. Read SEC document |
| August 31, 2017 Filed Sep 5, 2017 18:38 UTC | OTONOMY, INC. OTIC · Entity 116495 | Exercise / conversionWarrant to Purchase Common Stock (Right to Buy) · Derivative | 14,106 | $0.00 Strike: $14.18 | $0.00 |
DisclosureSEC source: 0000899243-17-021482 · doc4.xml · derivative · entry 4 Lichter Jay · CIK 0001376355 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 14,106 shares Expires 2018-12-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: On August 31, 2017, Avalon Ventures VIII, L.P. ("Avalon VIII LP") exercised certain warrants to purchase an aggregate of 141,060 shares of the Issuer's common stock at an exercise price of $14.18 per share. Avalon VIII LP paid the exercise price of the warrants on a cashless basis, resulting in the Issuer's withholding of 108,851 of the shares of common stock to pay the exercise price and the issuance to Avalon VIII LP of 32,209 shares. F2 · ownership.nature: The reported securities are held of record by Avalon VIII LP. The Reporting Person is a managing director of Avalon Ventures VIII GP, LLC, the general partner of Avalon VIII LP, and disclaims beneficial ownership of the securities held by Avalon VIII LP except to the extent of any pecuniary interest therein. Read SEC document |
| August 31, 2017 Filed Sep 5, 2017 18:38 UTC | OTONOMY, INC. OTIC · Entity 116495 | Exercise / conversionWarrant to Purchase Common Stock (Right to Buy) · Derivative | 14,106 | $0.00 Strike: $14.18 | $0.00 |
DisclosureSEC source: 0000899243-17-021482 · doc4.xml · derivative · entry 3 Lichter Jay · CIK 0001376355 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 14,106 shares Expires 2018-11-04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: On August 31, 2017, Avalon Ventures VIII, L.P. ("Avalon VIII LP") exercised certain warrants to purchase an aggregate of 141,060 shares of the Issuer's common stock at an exercise price of $14.18 per share. Avalon VIII LP paid the exercise price of the warrants on a cashless basis, resulting in the Issuer's withholding of 108,851 of the shares of common stock to pay the exercise price and the issuance to Avalon VIII LP of 32,209 shares. F2 · ownership.nature: The reported securities are held of record by Avalon VIII LP. The Reporting Person is a managing director of Avalon Ventures VIII GP, LLC, the general partner of Avalon VIII LP, and disclaims beneficial ownership of the securities held by Avalon VIII LP except to the extent of any pecuniary interest therein. Read SEC document |
| August 31, 2017 Filed Sep 5, 2017 18:38 UTC | OTONOMY, INC. OTIC · Entity 116495 | Tax withholdingCommon Stock | 108,851 | $18.37 | $1,999,592.87 |
DisclosureSEC source: 0000899243-17-021482 · doc4.xml · nonDerivative · entry 2 Lichter Jay · CIK 0001376355 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,297,361 F1 · kind: On August 31, 2017, Avalon Ventures VIII, L.P. ("Avalon VIII LP") exercised certain warrants to purchase an aggregate of 141,060 shares of the Issuer's common stock at an exercise price of $14.18 per share. Avalon VIII LP paid the exercise price of the warrants on a cashless basis, resulting in the Issuer's withholding of 108,851 of the shares of common stock to pay the exercise price and the issuance to Avalon VIII LP of 32,209 shares. F2 · ownership.nature: The reported securities are held of record by Avalon VIII LP. The Reporting Person is a managing director of Avalon Ventures VIII GP, LLC, the general partner of Avalon VIII LP, and disclaims beneficial ownership of the securities held by Avalon VIII LP except to the extent of any pecuniary interest therein. Read SEC document |
| August 31, 2017 Filed Sep 5, 2017 18:38 UTC | OTONOMY, INC. OTIC · Entity 116495 | Exercise / conversionCommon Stock | 141,060 | $14.18 | $2,000,230.80 |
DisclosureSEC source: 0000899243-17-021482 · doc4.xml · nonDerivative · entry 1 Lichter Jay · CIK 0001376355 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,406,212 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: On August 31, 2017, Avalon Ventures VIII, L.P. ("Avalon VIII LP") exercised certain warrants to purchase an aggregate of 141,060 shares of the Issuer's common stock at an exercise price of $14.18 per share. Avalon VIII LP paid the exercise price of the warrants on a cashless basis, resulting in the Issuer's withholding of 108,851 of the shares of common stock to pay the exercise price and the issuance to Avalon VIII LP of 32,209 shares. F2 · ownership.nature: The reported securities are held of record by Avalon VIII LP. The Reporting Person is a managing director of Avalon Ventures VIII GP, LLC, the general partner of Avalon VIII LP, and disclaims beneficial ownership of the securities held by Avalon VIII LP except to the extent of any pecuniary interest therein. Read SEC document |
| June 20, 2017 Filed Jul 14, 2017 18:31 UTC | OTONOMY, INC. OTIC · Entity 116495 | GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $16.05 | $0.00 |
DisclosureSEC source: 0001209191-17-045251 · doc4.xml · derivative · entry 1 Lichter Jay · CIK 0001376355 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2027-06-20 F1 · derivative.exercise_date: The shares subject to the option vest in full on the date of the Issuer's next annual meeting of stockholders. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.