SEC Form 3 · accession 0000919574-19-001859

AYTU BIOPHARMA, INC · AYTU

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners

10% Owner

10% Owner

10% Owner

Period of report

Feb 5, 2019

Accepted (ET)

Feb 15, 2019 · 4:13 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001385818

Table I — non-derivative securities

Security	Date	Code	Shares	A/D	Owned after	D/I	Nature of ownership
Common Stock, par value $.0001^F1	holding	—	—	—	2,000,000	D
Common Stock, par value $.0001^F2	holding	—	—	—	2,000,000	I	See Footnote
Common Stock, par value $.0001^F2	holding	—	—	—	2,000,000	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrant^F1,F3	$10.80	holding	—	—	—	—	Mar 6, 2023	Common Stock	222,222	—	D
Warrant^F2,F3	$10.80	holding	—	—	—	—	Mar 6, 2023	Common Stock	222,222	—	I
Warrant^F2,F3	$10.80	holding	—	—	—	—	Mar 6, 2023	Common Stock	222,222	—	I
Warrant^F1,F3	$10.80	holding	—	—	—	—	Mar 23, 2023	Common Stock	100,000	—	D
Warrant^F2,F3	$10.80	holding	—	—	—	—	Mar 23, 2023	Common Stock	100,000	—	I
Warrant^F2,F3	$10.80	holding	—	—	—	—	Mar 23, 2023	Common Stock	100,000	—	I
Warrant^F1,F3	$1.50	holding	—	—	—	—	Oct 9, 2023	Common Stock	3,907,165	—	D
Warrant^F2,F3	$1.50	holding	—	—	—	—	Oct 9, 2023	Common Stock	3,907,165	—	I
Warrant^F2,F3	$1.50	holding	—	—	—	—	Oct 9, 2023	Common Stock	3,907,165	—	I

F1The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund").
F2The reported securities may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
F3These warrants are currently exercisable, subject to a blocker provision that prevents the Master Fund from exercising the warrants if it would be more than a 4.99% beneficial owner of the Common Stock following such exercise.