SEC Form 4/A · accession 0001209191-16-139754
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
Carl Dockery
Director
Period of report
May 6, 2016
Accepted (ET)
Sep 2, 2016 · 4:09 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 | 5,000,000 | A | May 6, 2016 | May 6, 2021 | Common Stock | 5,000,000 | 5,000,000 | I |
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 Form 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.