0001638599-16-001509.txt : 20161104 0001638599-16-001509.hdr.sgml : 20161104 20161104165811 ACCESSION NUMBER: 0001638599-16-001509 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161102 FILED AS OF DATE: 20161104 DATE AS OF CHANGE: 20161104 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AYTU BIOSCIENCE, INC CENTRAL INDEX KEY: 0001385818 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 470883144 STATE OF INCORPORATION: CO FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 373 INVERNESS PARKWAY STREET 2: SUITE 200 CITY: ENGLEWOOD STATE: CO ZIP: 80112 BUSINESS PHONE: (720) 437-6580 MAIL ADDRESS: STREET 1: 373 INVERNESS PARKWAY STREET 2: SUITE 200 CITY: ENGLEWOOD STATE: CO ZIP: 80112 FORMER COMPANY: FORMER CONFORMED NAME: AYTU BIOSCIENCE, INC. DATE OF NAME CHANGE: 20150609 FORMER COMPANY: FORMER CONFORMED NAME: Rosewind CORP DATE OF NAME CHANGE: 20070110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cantrell Gary CENTRAL INDEX KEY: 0001679246 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-53121 FILM NUMBER: 161975825 MAIL ADDRESS: STREET 1: C/O AYTU BIOSCIENCE, INC. STREET 2: 373 INVERNESS PARKWAY, SUITE 200 CITY: ENGLEWOOD STATE: CO ZIP: 80112 4 1 doc4_4288.xml PRIMARY DOCUMENT X0306 4 2016-11-02 0 0001385818 AYTU BIOSCIENCE, INC AYTU 0001679246 Cantrell Gary 373 INVERNESS PARKWAY SUITE 206 ENGLEWOOD CO 80112 1 0 0 0 Common Stock 2016-11-02 2016-11-02 4 P 0 33333 1.50 A 98333 D Warrant to Purchase Common Stock 1.86 2016-11-02 2016-11-02 4 P 0 33333 A 2017-11-02 2021-11-02 Common Stock 33333 33333 D Warrant to Purchase Common STock 6.00 2016-05-06 2021-05-06 Common Stock 3750 3750 D Employee Stock Option Grant 3.23 2026-07-12 Common Stock 15000 15000 D The shares of stock and warrants were purchased at a purchase price per unit of $1.50. Of these shares, 65,000 are restricted shares that vest on July 12, 2026, subject to earlier vesting in certain situations. 25% vests on September 30, 2016, December 31, 2016, March 31, 2017 and June 30, 2017, subject to the Grantee's continued service as a director on such dates. /s/ Alexander M. Donaldson, by Power of Attorney 2016-11-04