SEC Form 4 · accession 0001209191-16-092883
AYTU BIOPHARMA, INC · AYTU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joshua R. Disbrow
Officer — Chief Executive Officer
Period of report
Jan 20, 2016
Accepted (ET)
Jan 21, 2016 · 4:13 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001385818
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 20, 2016 | P | 153,846 | $0.65 | A | 153,846 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option GrantF2 | $1.51 | holding | — | — | — | — | Nov 11, 2025 | Common Stock | 600,000 | 600,000 | D |
Explanation of responses
- F1These shares were purchased by the Reporting Person pursuant to a subscription agreement with the Issuer, dated January 20, 2016, which closed on January 20, 2016, and are restricted for resale indefinitely.
- F233.33% vests on the one year, two year and three year anniversary of the date of grant, subject to the Grantee's continued service as an employee on such dates.