Carl C. Dockery - 30 Jun 2025 Form 5 Insider Report for AYTU BIOPHARMA, INC (AYTU)

Reporting relationship: Director
Issuer ticker: AYTU
Reported as of: 30 Jun 2025
Net transaction value: +$7,974
SEC form: 5
Accepted by SEC: 20 Oct 2025, 15:56:29 UTC
Prior SEC filing: 08 Nov 2024
Next SEC filing: 07 Oct 2025
Source filing: View source filing
Reporting owner signature: /s/ Ryan Selhorn as attorney-in-fact for Carl Dockery

Filing notes and source

Key filing fact

Carl C. Dockery filed Form 5 for AYTU BIOPHARMA, INC (AYTU) on 20 Oct 2025.

Key facts

This page summarizes Carl C. Dockery's Form 5 filing for AYTU BIOPHARMA, INC (AYTU).
2 reported transactions and 0 derivative rows are listed below.
Accepted by SEC: 20 Oct 2025, 15:56.

Change

Previous filing in this sequence was filed on 08 Nov 2024.
Current net transaction value: +$7,974.

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

Official SEC source

Ownership activity is grounded in SEC Form 5 disclosures.

View source filing

Reporting Owners (1)

CIK 0001618149 Primary reporting owner

DOCKERY CARL

Relationship: Director
Address: C/O AYTU BIOPHARMA, INC., 7900 E. UNION AVENUE, SUITE 920, DENVER
Signature: /s/ Ryan Selhorn as attorney-in-fact for Carl Dockery
Signature date: 20 Oct 2025

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

AYTU transaction

Common Shares

Purchase

Transaction value: $9,230
Shares: +10,000
Change %
Price: $0.9230
Shares after: 50
Date: 18 Nov 2020
Ownership: Alpha Venture Capital Management, LLC
Footnotes: F1, F2

AYTU transaction

Common Shares

Sale

Transaction value: -$1,256
Shares: -209
Change %: -100%
Price: $6.01
Shares after: 0
Date: 30 Dec 2020
Ownership: Alpha Venture Capital Parner, LP
Footnotes: F1

AYTU holding

Common Shares

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 21,152
Date: 30 Jun 2025
Ownership: Direct
Footnotes: 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 Reporting Person's purchase and sale of AYTU common shares (the "Shares") reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 209 Shares sold on December 30, 2020, with the Reporting Person's purchase of 10,000 Shares on November 18, 2020. After taking into consideration the Issuer's 10:1 reverse stock split on December 10, 2020, the price for the November 18, 2020, purchase was $9.23 per share, or a total purchase price of $1,929.07 for 209 Shares. The total sale price of 209 Shares on December 30, 2020, was $1,256.09. THE REPORTING PERSON DID NOT REALIZE ANY PROFIT IN CONNECTION WITH THE SHORT-SWING PURCHASE AND SALE.

Footnote F2

Represents total Shares held following stock splits on June 30, 2016 (12:1), August 25, 2017 (20:1), August 13, 2018 (20:1), December 10, 2020 (10:1) and January 6, 2023 (20:1).

Footnote F3

Includes 10,000 restricted shares granted to the Reporting Person on October 3, 2025, and reported on a Form 4 filed with the Securities and Exchange Commission on October 7, 2025.

SEC remarks

The total direct shares reported above in Table I, Column 5, include a correction to an error in the total number of securities reported in Column 5 of Table I on the Form 4 filed with the Securities and Exchange Commission on April 16, 2021.