Filing Details
- Accession Number:
- 0001638599-16-001509
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-04 16:58:11
- Reporting Period:
- 2016-11-02
- Filing Date:
- 2016-11-04
- Accepted Time:
- 2016-11-04 16:58:11
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1385818 | Aytu Bioscience Inc | AYTU | Pharmaceutical Preparations (2834) | 470883144 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1679246 | Gary Cantrell | 373 Inverness Parkway Suite 206 Englewood CO 80112 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2016-11-02 | 33,333 | $1.50 | 98,333 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant to Purchase Common Stock | Acquisiton | 2016-11-02 | 33,333 | $0.00 | 33,333 | $1.86 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 33,333 | 2017-11-02 | 2021-11-02 | No | 4 | P | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant to Purchase Common STock | $6.00 | 2016-05-06 | 2021-05-06 | 3,750 | 3,750 | Direct |
| Common Stock | Employee Stock Option Grant | $3.23 | 2026-07-12 | 15,000 | 15,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2021-05-06 | 3,750 | 3,750 | Direct |
| 2026-07-12 | 15,000 | 15,000 | Direct |
Footnotes
- The shares of stock and warrants were purchased at a purchase price per unit of $1.50.
- Of these shares, 65,000 are restricted shares that vest on July 12, 2026, subject to earlier vesting in certain situations.
- 25% vests on September 30, 2016, December 31, 2016, March 31, 2017 and June 30, 2017, subject to the Grantee's continued service as a director on such dates.
Billionaire Hedge Funds
