0001567619-21-007912.txt : 20210412 0001567619-21-007912.hdr.sgml : 20210412 20210412163926 ACCESSION NUMBER: 0001567619-21-007912 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210408 FILED AS OF DATE: 20210412 DATE AS OF CHANGE: 20210412 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McLaughlin Gerald W. CENTRAL INDEX KEY: 0001495412 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38247 FILM NUMBER: 21821130 MAIL ADDRESS: STREET 1: 227 WASHINGTON STREET STREET 2: SUITE 200 CITY: CONSHOHOCKEN STATE: PA ZIP: 19428 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AYTU BIOPHARMA, INC CENTRAL INDEX KEY: 0001385818 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 470883144 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 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: AYTU BIOSCIENCE, INC. DATE OF NAME CHANGE: 20150609 FORMER COMPANY: FORMER CONFORMED NAME: Rosewind CORP DATE OF NAME CHANGE: 20070110 4 1 doc1.xml FORM 4 X0306 4 2021-04-08 0 0001385818 AYTU BIOPHARMA, INC AYTU 0001495412 McLaughlin Gerald W. C/O AYTU BIOPHARMA, INC. 373 INVERNESS PARKWAY, SUITE 206 ENGLEWOOD CO 80112 1 0 0 0 Common Stock 2021-04-08 4 A 0 6500 0 A 31401 D Grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of AYTU common stock. The RSUs have the following accelerated vesting conditions: (1) The consummation of a Sale Event. (2) The closing price of the Company's stock price is equal or greater than forty dollars per share ($40) for two consecutive trading days. (3) The Grantee's service with the Company or a Related Entity is terminated by the Company without Cause (as defined below).The RSUs vest as follows, and have no voting or dispositive rights until vested: one year vest from date of grant, April 8, 2021 such that the RSUs will be fully vested on April 8, 2022, subject to the reporting person's continuing employment with the Issuer. /s/Joshua Disbrow, attorney-in-fact 2021-04-12