SEC Form 4 · accession 0001638599-17-000231
AYTU BIOPHARMA, INC · AYTU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Gary Cantrell
Director
Period of report
Feb 27, 2017
Accepted (ET)
Mar 1, 2017 · 6:47 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 | Feb 27, 2017 | M | 37,083 | $0.75 | A | 135,416 | D |
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 Stock | $1.86 | Feb 27, 2017 | M | 33,333 | A | Nov 2, 2017 | Nov 2, 2021 | Common Stock | 33,333 | 0 | D |
| Warrant to Purchase Common STock | $6.00 | Feb 27, 2017 | M | 3,750 | A | May 6, 2016 | May 6, 2021 | Common Stock | 3,750 | 0 | D |
| Employee Stock Option GrantF2 | $3.23 | holding | — | — | — | — | Jul 12, 2026 | Common Stock | 15,000 | 15,000 | D |
Explanation of responses
- F1Of these shares, 65,000 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 a director on such dates.