SEC Form 4 · accession 0001209191-16-132315
AYTU BIOPHARMA, INC · AYTU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory A Gould
Officer — Chief Financial Officer
Period of report
Jul 7, 2016
Accepted (ET)
Jul 11, 2016 · 4:59 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 StockF1 | Jul 7, 2016 | A | 165,000 | $0.00 | A | 165,000 | 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 GrantF3 | $18.12 | Jul 7, 2016 | D | 20,834 | D | — | Nov 11, 2025 | Common Stock | 20,834 | 0 | D |
| Employee Stock Option GrantF3 | $3.23 | Jul 7, 2016 | A | 20,834 | A | — | Nov 11, 2025 | Common Stock | 20,834 | 20,834 | D |
| Employee Stock Option GrantF5 | $3.23 | Jul 7, 2016 | A | 25,000 | A | — | Jul 7, 2026 | Common Stock | 25,000 | 25,000 | D |
| Employee Stock Option GrantF2,F3 | $18.12 | holding | — | — | — | — | Nov 11, 2025 | Common Stock | 20,834 | 20,834 | D |
Explanation of responses
- F1These are restricted shares that vest on July 7, 2026, subject to earlier vesting in certain situations.
- F2The number of shares has been decreased and the exercise price has been increased to reflect the twelve-for-one stock split effected on June 30, 2016.
- F3These options are 100% vested.
- F4These two transactions involved an amendment of the exercise price of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option.
- F533.3% 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.