Nantahala Capital Management, LLC - 06 Jun 2025 Form 4 Insider Report for AYTU BIOPHARMA, INC (AYTU)

Reporting relationship: 10%+ Owner
Issuer ticker: AYTU
Reported as of: 06 Jun 2025
Net transaction value: +$5,999,600
SEC form: 4
Accepted by SEC: 09 Jun 2025, 16:31:42 UTC
Prior SEC filing: 17 Apr 2025
Next SEC filing: 19 Dec 2025
Source filing: View source filing
Reporting owner signature: /s/ Taki Vasilakis, Chief Compliance Officer, Nantahala Capital Management, LLC

Key filing fact

Nantahala Capital Management, LLC filed Form 4 for AYTU BIOPHARMA, INC (AYTU) on 09 Jun 2025.

Key facts

This page summarizes Nantahala Capital Management, LLC's Form 4 filing for AYTU BIOPHARMA, INC (AYTU).
1 reported transaction and 1 derivative row are listed below.
Accepted by SEC: 09 Jun 2025, 16:31.

Change

Previous filing in this sequence was filed on 17 Apr 2025.
Current net transaction value: +$5,999,600.

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

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reporting Owners (3)

CIK 0001472322 Primary reporting owner

Nantahala Capital Management, LLC

Relationship: 10%+ Owner
Address: 130 MAIN ST. 2ND FLOOR, NEW CANAAN
Signature: /s/ Taki Vasilakis, Chief Compliance Officer, Nantahala Capital Management, LLC
Signature date: 09 Jun 2025

CIK 0001775952

Harkey Wilmot B.

Relationship: 10%+ Owner
Address: C/O NANTAHALA CAPITAL MANAGEMENT, LLC, 130 MAIN ST. 2ND FLOOR, NEW CANAAN
Signature: /s/ Wilmot B. Harkey
Signature date: 09 Jun 2025

CIK 0001775831

Mack Daniel

Relationship: 10%+ Owner
Address: C/O NANTAHALA CAPITAL MANAGEMENT, LLC, 130 MAIN ST. 2ND FLOOR, NEW CANAAN
Signature: /s/ Daniel Mack
Signature date: 09 Jun 2025

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

AYTU transaction Derivative

Prefunded Warrants

Purchase

Transaction value: $5,999,600
Shares: +4,000,000
Change %: +491%
Price: $1.50
Shares after: 4,815,217
Date: 06 Jun 2025
Ownership: See footnote
Underlying class: Common Stock
Underlying amount: 4,000,000
Exercise price: $0.000100
Footnotes: F1, F2

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 2 footnotes

Footnote F1

Subject to certain limits on beneficial ownership, the Prefunded Warrants may be exercised to purchase Issuer Common Stock at an exercise price of $0.0001 per share. The Prefunded Warrants do not expire until exercised in full.

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.