0001209191-16-132315.txt : 20160711 0001209191-16-132315.hdr.sgml : 20160711 20160711165959 ACCESSION NUMBER: 0001209191-16-132315 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160707 FILED AS OF DATE: 20160711 DATE AS OF CHANGE: 20160711 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AYTU BIOSCIENCE, INC CENTRAL INDEX KEY: 0001385818 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 470883144 STATE OF INCORPORATION: CO FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 373 INVERNESS PARKWAY STREET 2: SUITE 200 CITY: ENGLEWOOD STATE: CO ZIP: 80112 BUSINESS PHONE: (720) 437-6580 MAIL ADDRESS: STREET 1: 373 INVERNESS PARKWAY STREET 2: SUITE 200 CITY: ENGLEWOOD STATE: CO ZIP: 80112 FORMER COMPANY: FORMER CONFORMED NAME: AYTU BIOSCIENCE, INC. DATE OF NAME CHANGE: 20150609 FORMER COMPANY: FORMER CONFORMED NAME: Rosewind CORP DATE OF NAME CHANGE: 20070110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gould Gregory A CENTRAL INDEX KEY: 0001252905 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-53121 FILM NUMBER: 161762582 MAIL ADDRESS: STREET 1: 1111 MAIN STREET, SUITE 660 CITY: VANCOUVER STATE: WA ZIP: 98660 FORMER NAME: FORMER CONFORMED NAME: GOULD GREGORY A DATE OF NAME CHANGE: 20030708 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-07-07 0 0001385818 AYTU BIOSCIENCE, INC AYTU 0001252905 Gould Gregory A 373 INVERNESS PARKWAY SUITE 206 ENGLEWOOD CO 80112 0 1 0 0 Chief Financial Officer Common Stock 2016-07-07 4 A 0 165000 0.00 A 165000 D Employee Stock Option Grant 18.12 2025-11-11 Common Stock 20834 20834 D Employee Stock Option Grant 18.12 2016-07-07 4 D 0 20834 0.00 D 2025-11-11 Common Stock 20834 0 D Employee Stock Option Grant 3.23 2016-07-07 4 A 0 20834 0.00 A 2025-11-11 Common Stock 20834 20834 D Employee Stock Option Grant 3.23 2016-07-07 4 A 0 25000 0.00 A 2026-07-07 Common Stock 25000 25000 D These are restricted shares that vest on July 7, 2026, subject to earlier vesting in certain situations. The number of shares has been decreased and the exercise price has been increased to reflect the twelve-for-one stock split effected on June 30, 2016. These options are 100% vested. These two 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. 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. /s/ Alexander M. Donaldson, by power of attorney 2016-07-07