SEC Form 4 · accession 0001638599-17-000295
AYTU BIOPHARMA, INC · AYTU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carl Dockery
Director
Period of report
Mar 16, 2017
Accepted (ET)
Mar 17, 2017 · 4:24 pm EDT
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 Stock | holding | — | — | — | 837,300 | I | Alpha Venture Capital Partners, L.P. | |
| Common StockF1 | holding | — | — | — | 65,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option GrantF2 | $3.23 | Mar 16, 2017 | D | 8,334 | D | Apr 11, 2016 | Apr 10, 2026 | Common Stock | 8,334 | 0 | D |
| Stock Option GrantF3 | $3.23 | Mar 16, 2017 | D | 6,667 | D | — | Apr 10, 2026 | Common Stock | 6,667 | 0 | D |
| Stock Option Grant | $0.82 | Mar 16, 2017 | A | 8,334 | A | Apr 11, 2016 | Apr 10, 2026 | Common Stock | 8,334 | 8,334 | D |
| Stock Option GrantF3 | $0.82 | Mar 16, 2017 | A | 6,667 | A | — | Apr 10, 2026 | Common Stock | 6,667 | 6,667 | D |
| Warrant to Purchase Common Stock | $6.00 | holding | — | — | — | May 6, 2016 | May 6, 2021 | Common Stock | 416,667 | 0 | I |
| Stock Option Grant | $6.72 | holding | — | — | — | Apr 11, 2016 | Apr 10, 2026 | Common Stock | 8,334 | 8,334 | D |
| Stock Option GrantF2 | $6.72 | holding | — | — | — | Apr 11, 2016 | Apr 10, 2026 | Common Stock | 8,334 | 0 | D |
Explanation of responses
- F1These are restricted shares that vest on July 7, 2026, subject to earlier vesting in certain situations.
- F2These options are 100% vested.
- F325% vests on September 30, 2016, December 31, 2016, March 31, 2017 and June 30, 2017, subject to the Grantee's continued service as an employee on such dates.
- F4These four transactions involved an amendment of the exercise price of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option.