Greg Pyszczymuka - 15 Nov 2022 Form 3 Insider Report for AYTU BIOPHARMA, INC (AYTU)

Role
Chief Commercial Officer
Signature
/s/ Mark Oki as attorney-in-fact for Greg Pyszczymuka
Issuer symbol
AYTU
Transactions as of
15 Nov 2022
Net transactions value
$0
Form type
3
Filing time
15 Nov 2022, 08:27:53 UTC
Next filing
21 Dec 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding AYTU Common Stock 82,056 15 Nov 2022 Direct F1, F2

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 140,625 $0.2000 Direct F2, F3
holding AYTU Restricted Stock Units 15 Nov 2022 Common Stock 50,000 Direct F2, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 50,003 unvested restricted shares granted on October 1, 2021. The initial grant was for 75,000 restricted shares, with one-third vesting on October 11, 2022. The remaining shares vest quarterly thereafter, at 1/12th of the original grant, with full vesting on October 11, 2024.
F2 Full vesting is subject to continued service through each applicable vesting date.
F3 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.
F4 Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. The RSUs were granted on March 31, 2022, and vest as follows: One-third on March 31, 2023; 1/12th of the original grant quarterly thereafter through March 31, 2025. Settlement of vested RSUs will occur as soon as practicable following vesting.

Remarks:

Exhibit 24.1 Power of Attorney