0001638599-17-000229.txt : 20170301
0001638599-17-000229.hdr.sgml : 20170301
20170301184124
ACCESSION NUMBER: 0001638599-17-000229
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170227
FILED AS OF DATE: 20170301
DATE AS OF CHANGE: 20170301
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: 17656285
MAIL ADDRESS:
STREET 1: AMPIO PHARMACEUTICALS, INC.
STREET 2: 5445 DTC PARKWAY, SUITE 925
CITY: GREENWOOD VILLAGE
STATE: CO
ZIP: 80111
4
1
doc4_4570.xml
PRIMARY DOCUMENT
X0306
4
2017-02-27
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
2017-02-27
4
M
0
187500
0.75
A
630194
D
Warrant to Purchase Common Stock
1.86
2017-02-27
4
M
0
166666
0.00
D
2017-11-02
2021-11-02
Common Stock
166666
0
D
Warran to Purchase Common Stock
6.00
2017-02-27
4
M
0
20834
0.00
D
2016-05-06
2021-05-06
Common Stock
20834
0
D
Warrant to Purchase Common Stock
6.00
2016-12-16
2021-05-06
Common Stock
28924
28924
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 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.
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.
/s/ Gregory A. Gould, by Power of Attorney
2017-03-01