0001638599-17-000293.txt : 20170317 0001638599-17-000293.hdr.sgml : 20170317 20170317162222 ACCESSION NUMBER: 0001638599-17-000293 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170316 FILED AS OF DATE: 20170317 DATE AS OF CHANGE: 20170317 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: 17698334 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_4623.xml PRIMARY DOCUMENT X0306 4 2017-03-16 0 0001385818 AYTU BIOSCIENCE, INC AYTU 0001679246 Cantrell Gary 373 INVERNESS PARKWAY SUITE 206 ENGLEWOOD CO 80112 1 0 0 0 Common Stock 135416 D Warrant to Purchase Common Stock 1.86 2017-11-02 2021-11-02 Common Stock 33333 0 D Warrant to Purchase Common STock 6.00 2016-05-06 2021-05-06 Common Stock 3750 0 D Employee Stock Option Grant 3.23 2017-03-16 4 D 0 15000 0.00 D 2026-07-12 Common Stock 15000 0 D Employee Stock Option Grant 0.82 2017-03-16 4 A 0 15000 0.00 A 2026-07-12 Common Stock 15000 15000 D 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. These two transactions involved an amendment of the exercise price of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. /s/ Gregory A. Gould, by Power of Attorney 2017-03-16