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AYTU BIOPHARMA, INC — Director's Dealing 2016
Aug 4, 2016
35030_dirs_2016-08-04_bd61571a-324d-449f-a319-93ca3e928606.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: AYTU BIOSCIENCE, INC (AYTU)
CIK: 0001385818
Period of Report: 2016-08-02
Reporting Person: Disbrow Joshua R. (Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-08-02 | Common Stock | A | 52374 | $0.00 | Acquired | 276028 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option Grant | $3.23 | 2025-11-11 | Common Stock (50000) | 50000 | Direct |
| Employee Stock Option Grant | $3.23 | 2026-07-07 | Common Stock (60000) | 60000 | Direct |
Footnotes
F1: These shares were granted as a bonus for performance in fiscal 2016.
F2: Of these shares, 190,000 are restricted shares that vest on July 7, 2026, subject to earlier vesting in certain situations.
F3: 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.
F4: 33.33% 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.