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