Key facts
- This page summarizes Nantahala Capital Management, LLC's Form 4 filing for AYTU BIOPHARMA, INC (AYTU).
- 2 reported transactions and 2 derivative rows are listed below.
- Accepted by SEC: 18 Jun 2024, 17:09.
Nantahala Capital Management, LLC - 14 Jun 2024 Form 4 Insider Report for AYTU BIOPHARMA, INC (AYTU)
- Reporting relationship
- 10%+ Owner
- Issuer ticker
- AYTU
- Reported as of
- 14 Jun 2024
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 18 Jun 2024, 17:09:09 UTC
- Prior SEC filing
- 21 Mar 2024
- Next SEC filing
- 15 Nov 2024
- Source filing
- View source filing
- Reporting owner signature
- /s/ Taki Vasilakis, Chief Compliance Officer, Nantahala Capital Management, LLC
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Nantahala Capital Management, LLC filed Form 4 for AYTU BIOPHARMA, INC (AYTU) on 18 Jun 2024.
Change
- Previous filing in this sequence was filed on 21 Mar 2024.
- Current net transaction value: $0.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
AYTU
transaction
Derivative
Tranche B Warrant
Exercise of in-the-money or at-the-money derivative security
- Transaction value
- $0
- Shares
- -815,217
- Change %
- -100%
- Price
- $0.000000*
- Shares after
- 0
- Date
- 14 Jun 2024
- Ownership
- See Footnote
- Underlying class
- Common Stock
- Underlying amount
- 815,217
- Exercise price
- $1.59
- Footnotes
- F1, F2
AYTU
transaction
Derivative
Exchange Warrants
Exercise of in-the-money or at-the-money derivative security
- Transaction value
- $0
- Shares
- +815,217
- Change %
- Price
- $0.000000
- Shares after
- 815,217
- Date
- 14 Jun 2024
- Ownership
- See Footnote
- Underlying class
- Common Stock
- Underlying amount
- 815,217
- Exercise price
- $0.000100
- Footnotes
- F2, F3
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 3 footnotes
Footnote F1
The Tranche B Warrants may be exercised for either shares of Common Stock or Exchange Warrants. Subject to certain limits on beneficial ownership, the Tranche B Warrants are exercisable at a price of $1.59 per share (or $1.5899 per Exchange Warrant). The Tranche B Warrants will expire upon the earlier of (x) five years after the date of issuance, and (y) 30 days following the Issuer's achievement of consolidated trailing twelve-month adjusted EBITDA of $12 million.
Footnote F2
Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold the Aytu BioPharma, Inc ("Issuer") securities disclosed in this Form 4, may be deemed a beneficial owner of such securities. Each of Mr. Wilmot B Harkey and Mr. Daniel Mack may be deemed a beneficial owner of Issuer securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the Issuer's securities disclosed herein except to the extent of their respective pecuniary interests therein.
Footnote F3
Subject to certain limits on beneficial ownership, the Exchange Warrants may be exercised to purchase Issuer Common Stock at an exercise price of $0.0001 per share. The Exchange Warrants do not expire until exercised in full.