0001193125-19-067843.txt : 20190308 0001193125-19-067843.hdr.sgml : 20190308 20190308060703 ACCESSION NUMBER: 0001193125-19-067843 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20190308 DATE AS OF CHANGE: 20190308 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AYTU BIOSCIENCE, INC CENTRAL INDEX KEY: 0001385818 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 470883144 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-88813 FILM NUMBER: 19667531 BUSINESS ADDRESS: STREET 1: 373 INVERNESS PARKWAY STREET 2: SUITE 206 CITY: ENGLEWOOD STATE: CO ZIP: 80112 BUSINESS PHONE: (720) 437-6580 MAIL ADDRESS: STREET 1: 373 INVERNESS PARKWAY STREET 2: SUITE 206 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: UBS Group AG CENTRAL INDEX KEY: 0001610520 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 000000000 STATE OF INCORPORATION: V8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: BAHNHOFSTRASSE 45 CITY: ZURICH STATE: V8 ZIP: CH-8001 BUSINESS PHONE: 41-44-234-1111 MAIL ADDRESS: STREET 1: BAHNHOFSTRASSE 45 CITY: ZURICH STATE: V8 ZIP: CH-8001 SC 13G 1 d696268dsc13g.htm SC 13G SC 13G

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No.     )*

 

 

Aytu Bioscience, Inc.

(Name of Issuer)

Common Stock, par value $.0001 per share

(Title of Class of Securities)

054754700

(CUSIP Number)

February 28, 2019

(Date of Event Which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

☒ Rule 13d-1(b)

☐ Rule 13d-1(c)

☐ Rule 13d-1(d)

 

*

The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

   SCHEDULE 13G    Page 2 of 4

 

CUSIP No. 054754700

 

  (1)       

  Names of reporting persons

 

  UBS Group AG directly and on behalf of certain subsidiaries

  (2)      

  Check the appropriate box if a member of a group (see instructions)

  (a)  ☐        (b)  ☐

 

  (3)      

  SEC use only

 

  (4)      

  Citizenship or place of organization

 

  Switzerland

Number of

shares

  beneficially  

owned by

each

reporting

person

with:

     (5)     

  Sole voting power

 

  (6)     

  Shared voting power

 

  2,000,000

  (7)     

  Sole dispositive power

 

  (8)     

  Shared dispositive power

 

  2,000,000

  (9)      

  Aggregate amount beneficially owned by each reporting person

 

  2,000,000

(10)      

  Check if the aggregate amount in Row (9) excludes certain shares (see instructions)

 

(11)      

  Percent of class represented by amount in Row (9)

 

  16.14%

(12)      

  Type of reporting person (see instructions)

 

  BK

   SCHEDULE 13G    Page 3 of 4

 

Item 1(a) Name of issuer: Aytu Bioscience, Inc.

Item 1(b) Address of issuer’s principal executive offices:

373 Inverness Parkway

Suite 206

Englewood, CO 80112

2(a) Name of person filing:

UBS Group AG

2(b) Address or principal business office or, if none, residence:

UBS Group AG

Bahnhofstrasse 45

PO Box CH-8098

2(c) Citizenship:

Switzerland

2(d) Title of class of securities:

Common Stock, par value $.0001 per share

2(e) CUSIP No.:

054754700

 

Item 3.

If this statement is filed pursuant to §§240.13d–1(b) or 240.13d–2(b) or (c), check whether the person filing is a:

 

(a)    ☐    Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
(b)    ☒    Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
(c)    ☐    Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
(d)    ☐    Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a–8);
(e)    ☐    An investment adviser in accordance with §240.13d–1(b)(1)(ii)(E);
(f)    ☐    An employee benefit plan or endowment fund in accordance with §240.13d–1(b)(1)(ii)(F);
(g)    ☐    A parent holding company or control person in accordance with §240.13d–1(b)(1)(ii)(G);
(h)    ☐    A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
(i)    ☐    A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a–3);
(j)    ☐    A non-U.S. institution in accordance with §240.13d–1(b)(1)(ii)(J);
(k)    ☐    Group, in accordance with §240.13d–1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with §240.13d–1(b)(1)(ii)(J), please specify the type of institution: ________________________________

 

Item 4.

Ownership

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

(a) Amount beneficially owned: 2,000,000.

(b) Percent of class: 16.14%.

   SCHEDULE 13G    Page 4 of 4

 

(c) Number of shares as to which the person has:

(i) Sole power to vote or to direct the vote _________.

(ii) Shared power to vote or to direct the vote 2,000,000.

(iii) Sole power to dispose or to direct the disposition of _________.

(iv) Shared power to dispose or to direct the disposition of 2,000,000.

 

Item 5.

Ownership of 5 Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following  ☐.

Dissolution of a group requires a response to this item.

 

Item 6.

Ownership of More than 5 Percent on Behalf of Another Person.

N/A

 

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.

This statement on Schedule 13G is being filed by UBS Group AG on behalf of itself and its wholly owned subsidiaries: UBS AG London Branch and UBS Securities LLC.

 

Item 8.

Identification and Classification of Members of the Group.

N/A

 

Item 9.

Notice of Dissolution of Group.

N/A

 

Item 10.

Certifications

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect other than activities solely in connection with a nomination under §240.14a-11.

Signatures

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

Date:    3/8/2019       Signature:   

/s/ Jennifer Sator

         Name:    Jennifer Sator
         Title:    Director
Date:    3/8/2019       Signature:   

/s/ Rollins Simmons

         Name:    Rollins Simmons
         Title:    Authorized Signatory