0001104659-24-072893.txt : 20240618
0001104659-24-072893.hdr.sgml : 20240618
20240618170909
ACCESSION NUMBER: 0001104659-24-072893
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240614
FILED AS OF DATE: 20240618
DATE AS OF CHANGE: 20240618
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Nantahala Capital Management, LLC
CENTRAL INDEX KEY: 0001472322
ORGANIZATION NAME:
STATE OF INCORPORATION: MA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38247
FILM NUMBER: 241052914
BUSINESS ADDRESS:
STREET 1: 130 MAIN ST.
STREET 2: 2ND FLOOR
CITY: NEW CANAAN
STATE: CT
ZIP: 06840
BUSINESS PHONE: 203-404-1172
MAIL ADDRESS:
STREET 1: 130 MAIN ST.
STREET 2: 2ND FLOOR
CITY: NEW CANAAN
STATE: CT
ZIP: 06840
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Harkey Wilmot B.
CENTRAL INDEX KEY: 0001775952
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38247
FILM NUMBER: 241052913
MAIL ADDRESS:
STREET 1: C/O NANTAHALA CAPITAL MANAGEMENT, LLC
STREET 2: 130 MAIN ST. 2ND FLOOR
CITY: NEW CANAAN
STATE: CT
ZIP: 06840
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Mack Daniel
CENTRAL INDEX KEY: 0001775831
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38247
FILM NUMBER: 241052912
MAIL ADDRESS:
STREET 1: C/O NANTAHALA CAPITAL MANAGEMENT, LLC
STREET 2: 130 MAIN ST. 2ND FLOOR
CITY: NEW CANAAN
STATE: CT
ZIP: 06840
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: AYTU BIOPHARMA, INC
CENTRAL INDEX KEY: 0001385818
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
ORGANIZATION NAME: 03 Life Sciences
IRS NUMBER: 470883144
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0630
BUSINESS ADDRESS:
STREET 1: 7900 E. UNION AVENUE
STREET 2: SUITE 920
CITY: DENVER
STATE: CO
ZIP: 80237
BUSINESS PHONE: (720) 437-6580
MAIL ADDRESS:
STREET 1: 7900 E. UNION AVENUE
STREET 2: SUITE 920
CITY: DENVER
STATE: CO
ZIP: 80237
FORMER COMPANY:
FORMER CONFORMED NAME: AYTU BIOSCIENCE, INC
DATE OF NAME CHANGE: 20150609
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
4
1
tm2417545-2_4seq1.xml
OWNERSHIP DOCUMENT
X0508
4
2024-06-14
0
0001385818
AYTU BIOPHARMA, INC
AYTU
0001472322
Nantahala Capital Management, LLC
130 MAIN ST. 2ND FLOOR
NEW CANAAN
CT
06840
0
0
1
0
0001775952
Harkey Wilmot B.
C/O NANTAHALA CAPITAL MANAGEMENT, LLC
130 MAIN ST. 2ND FLOOR
NEW CANAAN
CT
06840
0
0
1
0
0001775831
Mack Daniel
C/O NANTAHALA CAPITAL MANAGEMENT, LLC
130 MAIN ST. 2ND FLOOR
NEW CANAAN
CT
06840
0
0
1
0
0
Tranche B Warrant
1.5899
2024-06-14
4
X
0
815217
0
D
Common Stock
815217
0
I
See Footnote
Exchange Warrants
0.0001
2024-06-14
4
X
0
815217
0
A
Common Stock
815217
815217
I
See Footnote
The Tranche B Warrants may be exercised for either shares of Common Stock or Exchange Warrants. Subject to certain limits on beneficial ownership, the Tranche B Warrants are exercisable at a price of $1.59 per share (or $1.5899 per Exchange Warrant). The Tranche B Warrants will expire upon the earlier of (x) five years after the date of issuance, and (y) 30 days following the Issuer's achievement of consolidated trailing twelve-month adjusted EBITDA of $12 million.
Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold the Aytu BioPharma, Inc ("Issuer") securities disclosed in this Form 4, may be deemed a beneficial owner of such securities. Each of Mr. Wilmot B Harkey and Mr. Daniel Mack may be deemed a beneficial owner of Issuer securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the Issuer's securities disclosed herein except to the extent of their respective pecuniary interests therein.
Subject to certain limits on beneficial ownership, the Exchange Warrants may be exercised to purchase Issuer Common Stock at an exercise price of $0.0001 per share. The Exchange Warrants do not expire until exercised in full.
/s/ Taki Vasilakis, Chief Compliance Officer, Nantahala Capital Management, LLC
2024-06-18
/s/ Wilmot B. Harkey
2024-06-18
/s/ Daniel Mack
2024-06-18