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
- The shares of stock and warrants were purchased at a purchase price per unit of $1.50.
- Of these shares, 165,000 are restricted shares that vest on July 7, 2026, subject to earlier vesting in certain situations.
- 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.
- 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.