Filing Details

Accession Number:
0001638599-16-001507
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-11-04 16:57:47
Reporting Period:
2016-11-02
Filing Date:
2016-11-04
Accepted Time:
2016-11-04 16:57:47
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1385818 Aytu Bioscience Inc AYTU Pharmaceutical Preparations (2834) 470883144
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1640724 Jarrett Disbrow 373 Inverness Parkway
Suite 206
Englewood CO 80112
Chief Operating Officer Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2016-11-02 166,666 $1.50 413,504 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrant to Purchase Common Stock Acquisiton 2016-11-02 166,666 $0.00 166,666 $1.86
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
166,666 2017-11-02 2021-11-02 No 4 P Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Warrant to Purchase Common Stock $6.00 2016-05-06 2021-05-06 20,834 20,834 Direct
Common Stock Employee Stock Option Grant $3.23 2025-11-11 50,000 50,000 Direct
Common Stock Employee Stock Option Grant $3.23 2026-07-07 60,000 60,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2021-05-06 20,834 20,834 Direct
2025-11-11 50,000 50,000 Direct
2026-07-07 60,000 60,000 Direct
Footnotes
  1. The shares of stock and warrants were purchased at a purchase price per unit of $1.50.
  2. Of these shares, 165,000 are restricted shares that vest on July 7, 2026, subject to earlier vesting in certain situations.
  3. 33.3% vest on November 11, 2016, 33.3% vest on November 11, 2017 and 33.3% vest on November 11, 2018, subject to the Grantee's continued service as an employee on such dates.
  4. 33.3% vests on the one year, two year and three year anniversary of the date of grant, subject to the Grantee's continued service as an employee on such dates.