0001638599-16-001707.txt : 20161219
0001638599-16-001707.hdr.sgml : 20161219
20161219083259
ACCESSION NUMBER: 0001638599-16-001707
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161216
FILED AS OF DATE: 20161219
DATE AS OF CHANGE: 20161219
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: AYTU BIOSCIENCE, INC
CENTRAL INDEX KEY: 0001385818
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 470883144
STATE OF INCORPORATION: CO
FISCAL YEAR END: 0630
BUSINESS ADDRESS:
STREET 1: 373 INVERNESS PARKWAY
STREET 2: SUITE 200
CITY: ENGLEWOOD
STATE: CO
ZIP: 80112
BUSINESS PHONE: (720) 437-6580
MAIL ADDRESS:
STREET 1: 373 INVERNESS PARKWAY
STREET 2: SUITE 200
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
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: 000-53121
FILM NUMBER: 162057820
MAIL ADDRESS:
STREET 1: AMPIO PHARMACEUTICALS, INC.
STREET 2: 5445 DTC PARKWAY, SUITE 925
CITY: GREENWOOD VILLAGE
STATE: CO
ZIP: 80111
4
1
doc4_4409.xml
PRIMARY DOCUMENT
X0306
4
2016-12-16
0
0001385818
AYTU BIOSCIENCE, INC
AYTU
0001566240
Disbrow Joshua R.
373 INVERNESS PARKWAY
SUITE 206
ENGLEWOOD
CO
80112
1
1
0
0
Chief Executive Officer
Common Stock
442694
D
Warrant to Purchase Common Stock
6.00
2016-12-16
2016-12-16
4
P
0
28924
0.07
A
2016-12-16
2021-05-06
Common Stock
28924
28924
D
Warrant to Purchase Common Stock
1.86
2017-11-02
2021-11-02
Common Stock
166666
166666
D
Warran to Purchase Common Stock
6.00
2016-05-06
2021-05-06
Common Stock
20834
20834
D
Employee Stock Option Grant
3.23
2025-11-11
Common Stock
50000
50000
D
Employee Stock Option Grant
3.23
2026-07-07
Common Stock
60000
60000
D
Of these shares, 190,000 are restricted shares that vest on July 7, 2026, subject to earlier vesting in certain situations.
33.3% vests on November 11, 2016, 33.3% vests on November 11, 2017 and 33.4% vests on November 11, 2018, subject to the Grantee's continued service as an employee on such dates.
33.3% vests on July 7, 2017, 33.3% vests on July 7, 2018 and 33.4% on July 7, 2019, subject to the Grantee's continued service as an employee on such dates.
/s/ Alexander M. Donaldson, by Power of Attorney
2016-12-19