SEC Form 4 · accession 0001213900-17-011709
AYTU BIOPHARMA, INC · AYTU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carl Dockery
Director
Period of report
Nov 7, 2017
Accepted (ET)
Nov 9, 2017 · 7:01 pm EST
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,F2,F3 | Nov 7, 2017 | A | 50,000 | — | A | 95,115 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These are restricted shares that vest on November 7, 2027, subject to earlier vesting in certain situations.
- F2Of these shares, 3,250 are restricted shares that vest on July 7, 2026, subject to earlier vesting in certain situations.
- F3Represents (i) 53,250 restricted shares directly owned by the Reporting Person; and (ii) 41,865 shares indirectly owned by Alpha Venture Capital Partners, L.P.