Jarrett T. Disbrow - 15 Nov 2022 Form 3 Insider Report for AYTU BIOPHARMA, INC (AYTU)

Role
Chief Business Officer, President, Consumer Health
Signature
/s/ Mark Oki as attorney-in-fact for Jarrett Disbrow
Issuer symbol
AYTU
Transactions as of
15 Nov 2022
Net transactions value
$0
Form type
3
Filing time
15 Nov 2022, 08:26:45 UTC
Next filing
15 Aug 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding AYTU Common Stock 255,949 15 Nov 2022 Direct F1, F2, F3, F4, F5

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding AYTU Employee Stock Option (Right to Buy) 15 Nov 2022 Common Stock 164,063 $0.2000 Direct F5, F6
holding AYTU Employee Stock Option (Right to Buy) 15 Nov 2022 Common Stock 13 $3280.00 Direct F5, F7
holding AYTU Employee Stock Option (Right to Buy) 15 Nov 2022 Common Stock 15 $3280.00 Direct F5, F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 128,340 unvested restricted shares granted on August 2, 2021. The initial grant was for 220,000 restricted shares with one-third vesting on August 2, 2022. The remaining restricted shares vest quarterly thereafter, at 1/12th of the original grant, with full vesting occurring on August 2, 2024.
F2 Includes 33,750 restricted shares granted on October 24, 2018. The restricted shares vest on October 24, 2028.
F3 Includes 500 restricted shares granted November 7, 2017. The restricted shares vest on November 7, 2027.
F4 Includes 42 restricted shares granted on November 7, 2016. The restricted shares vest on November 7, 2026.
F5 Full vesting is subject to continued service through each applicable vesting date.
F6 The options were granted on October 1, 2022, and vest as follows: One-third of the options vest on October 1, 2023. The remaining options vest in equal monthly installments until fully vested on October 1, 2025.
F7 The options were granted on November 11, 2015, and fully vested on November 11, 2018.
F8 The options were granted on July 7, 2016, and fully vested on July 7, 2019.

Remarks:

Exhibit 24.1 Power of Attorney