0001638599-17-000289.txt : 20170317 0001638599-17-000289.hdr.sgml : 20170317 20170317161812 ACCESSION NUMBER: 0001638599-17-000289 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170316 FILED AS OF DATE: 20170317 DATE AS OF CHANGE: 20170317 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: 17698218 MAIL ADDRESS: STREET 1: AMPIO PHARMACEUTICALS, INC. STREET 2: 5445 DTC PARKWAY, SUITE 925 CITY: GREENWOOD VILLAGE STATE: CO ZIP: 80111 4 1 doc4_4621.xml PRIMARY DOCUMENT X0306 4 2017-03-16 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 630194 D Warrant to Purchase Common Stock 1.86 2017-11-02 2021-11-02 Common Stock 166666 0 D Warran to Purchase Common Stock 6.00 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 2017-03-16 4 D 0 50000 0.00 D 2025-11-11 Common Stock 50000 0 D Employee Stock Option Grant 3.23 2017-03-16 4 D 0 60000 0.00 D 2026-07-07 Common Stock 60000 0 D Employee Stock Option Grant 0.82 2017-03-16 4 A 0 50000 0.00 A 2025-11-11 Common Stock 50000 50000 D Employee Stock Option Grant 0.82 2017-03-16 4 A 0 60000 0.00 A 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. These four transactions involved an amendment of the exercise price of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. /s/ Gregory A. Gould, by Power of Attorney 2017-03-16