0001567619-21-008228.txt : 20210416 0001567619-21-008228.hdr.sgml : 20210416 20210416164957 ACCESSION NUMBER: 0001567619-21-008228 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210416 FILED AS OF DATE: 20210416 DATE AS OF CHANGE: 20210416 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Disbrow Joshua R. CENTRAL INDEX KEY: 0001566240 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38247 FILM NUMBER: 21832131 MAIL ADDRESS: STREET 1: AMPIO PHARMACEUTICALS, INC. STREET 2: 5445 DTC PARKWAY, SUITE 925 CITY: GREENWOOD VILLAGE STATE: CO ZIP: 80111 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 2021-04-16 0 0001385818 AYTU BIOPHARMA, INC AYTU 0001566240 Disbrow Joshua R. C/O AYTU BIOPHARMA, INC. 373 INVERNESS PARKWAY, SUITE 206 ENGLEWOOD CO 80112 1 1 0 0 Chief Executive Officer Common Stock 2021-04-16 4 A 0 800000 0 A 897506 D Grant of restricted shares. The restricted shares 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). (4) At the Compensation Committee's discretion based on the Company achieving certain revenue milestones and the successful integration of future acquisitions. The restricted shares vest as follows, and have no voting or dispositive rights until vested: 1/3 on April 16, 2022, and 1/12 on the first day of each quarter thereafter, such that the restricted shares will be fully vested on the third anniversary of the grant, subject to the reporting person's continuing employment with the Issuer. /s/Joshua R. Disbrow 2021-04-16