SEC Form 4/A · accession 0001209191-16-139751
AYTU BIOPHARMA, INC · AYTU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Joshua R. Disbrow
Officer — Chief Executive Officer
Period of report
May 6, 2016
Accepted (ET)
Sep 2, 2016 · 4:07 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001385818
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to Purchase Common StockF1 | $0.50 | May 6, 2016 | P | 250,000 | A | May 6, 2016 | May 6, 2021 | Common Stock | 250,000 | 250,000 | D |
Explanation of responses
- F1These warrants were purchased, together with shares of common stock, on May 6, 2016, and were omitted from the Reporting Person's original Form 4 filed on May 16, 2016 to report the purchase, and were also omitted from the two Forms 4 filed by the Reporting Person after the original Form 4 was filed. This amended Form 4 does not give effect to a 1-for-12 reverse stock split effected on June 30, 2016.