SEC Form 4 · accession 0001213900-18-002658
AYTU BIOPHARMA, INC · AYTU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joshua R. Disbrow
Officer — Chief Executive Officer · Director
Period of report
Mar 6, 2018
Accepted (ET)
Mar 7, 2018 · 4:39 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 | Mar 6, 2018 | P | 226,105 | $0.45 | A | 490,949 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF2 | $0.54 | Mar 6, 2018 | P | 226,105 | A | Mar 6, 2018 | Mar 6, 2023 | Common Stock | 226,105 | 226,105 | D |
Explanation of responses
- F1Includes 159,500 restricted shares.
- F2Warrants were issued as part of units with the shares of common stock.