SEC Form 4 · accession 0001209191-16-132709
AYTU BIOPHARMA, INC · AYTU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary Cantrell
Director
Period of report
Jul 12, 2016
Accepted (ET)
Jul 14, 2016 · 4:20 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 12, 2016 | A | 65,000 | $0.00 | A | 65,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option GrantF2 | $3.23 | Jul 12, 2016 | A | 15,000 | A | — | Jul 12, 2026 | Common Stock | 15,000 | 15,000 | D |
Explanation of responses
- F1These are restricted shares that vest on July 12, 2026, subject to earlier vesting in certain situations.
- F225% vests on September 30, 2016, December 31, 2016, March 31, 2017 and June 30, 2017, subject to the Grantee's continued service as an employee on such dates.