SEC Form 4 · accession 0001209191-16-120346
AYTU BIOPHARMA, INC · AYTU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Carl Dockery
Director
Period of report
May 6, 2016
Accepted (ET)
May 16, 2016 · 4:17 pm EDT
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 Stock | May 6, 2016 | P | 5,000,000 | $0.40 | A | 5,047,591 | I | Alpha Venture Capital Partners, L.P. |
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 Grant | $0.56 | holding | — | — | — | Apr 11, 2016 | Apr 10, 2026 | Common Stock | 100,000 | 100,000 | D |