0001638599-17-000784.txt : 20170822
0001638599-17-000784.hdr.sgml : 20170822
20170822195521
ACCESSION NUMBER: 0001638599-17-000784
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170815
FILED AS OF DATE: 20170822
DATE AS OF CHANGE: 20170822
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: 171046074
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 BIOSCIENCE, 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 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
4
1
doc4_4897.xml
PRIMARY DOCUMENT
X0306
4
2017-08-15
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
2017-08-15
4
A
0
1666667
0.15
A
2296861
D
Warrant to Purchase Common Stock
0.18
2017-08-15
4
A
0
2500000
0.18
A
2017-08-15
2022-08-15
Common Stock
2500000
0
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
2017-08-22