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Share Name | Share Symbol | Market | Type |
---|---|---|---|
AYTU BioPharma Inc | NASDAQ:AYTU | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.1068 | 3.69% | 2.9999 | 2.86 | 2.99 | 3.006 | 2.95 | 2.95 | 6,230 | 19:02:49 |
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
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1. Name and Address of Reporting Person
*
ARMISTICE CAPITAL, LLC |
2. Issuer Name
and
Ticker or Trading Symbol
AYTU BIOSCIENCE, INC [ AYTU ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__ X __ Director __ X __ 10% Owner _____ Officer (give title below) _____ Other (specify below) |
510 MADISON AVENUE, 7TH FLOOR, |
3. Date of Earliest Transaction
(MM/DD/YYYY)
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NEW YORK, NY 10022 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person _ X _ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 4/18/2019 | J (1) (2) (3) | 3120064 | A | (1) (2) (3) | 5120064 | D (4) | |||
Common Stock | 4/18/2019 | J (1) (2) (3) | 0 | A | $0 | 5120064 | I | See Footnote (4) |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series E Convertible Preferred Stock | $0.88 (1) (2) (3) | 4/18/2019 | J (1) (2) (3) | 2751148 | (1) (2) (3) | (1) (2) (3) | Common Stock | 2751148 (1) (2) (3) | (1) (2) (3) | 2751148 (1) (2) (3) | D (4) | ||||
Series E Convertible Preferred Stock | $0.88 (1) (2) (3) | 4/18/2019 | J (1) (2) (3) | 0 | (1) (2) (3) | (1) (2) (3) | Common Stock | 0 | $0 | 2751148 (1) (2) (3) | I | See Footnote (4) | |||
Warrant | $1.00 | 4/18/2019 | J (1) (2) (3) | 4403409 | (1) (2) (3) | (1) (2) (3) | Common Stock | 4403409 | (1) (2) (3) | 4403409 | D (4) | ||||
Warrant | $1.00 | 4/18/2019 | J (1) (2) (3) | 0 | (1) (2) (3) | (1) (2) (3) | Common Stock | 0 | $0 | 4403409 | I | See Footnote (4) | |||
Warrant | $10.80 | (5) | 3/6/2023 | Common Shares | 222222 | 222222 | D (4) | ||||||||
Warrant | $10.80 | (5) | 3/6/2023 | Common Shares | 0 | 222222 | I | See Footnote (4) | |||||||
Warrant | $10.80 | (5) | 3/23/2023 | Common Shares | 100000 | 100000 | D (4) | ||||||||
Warrant | $10.80 | (5) | 3/23/2023 | Common Shares | 0 | 100000 | I | See Footnote (4) | |||||||
Warrant | $1.50 | (5) | 10/9/2023 | Common Shares | 3907165 | 3907165 | D (4) | ||||||||
Warrant | $1.50 | (5) | 10/9/2023 | Common Shares | 0 | 3907165 | I | 1See Footnote (4) |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
ARMISTICE CAPITAL, LLC
510 MADISON AVENUE, 7TH FLOOR NEW YORK, NY 10022 |
X | X |
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Armistice Capital Master Fund Ltd.
C/O DMS CORPORATE SERVICES LTD. 20 GENESIS CLOSE, P.O. BOX 314 GRAND CAYMAN, E9 KY1-1104 |
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X |
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Boyd Steven
C/O ARMISTICE CAPITAL, LLC 510 MADISON AVENUE, 7TH FLOOR NEW YORK, NY 10022 |
X | X |
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Signatures
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Armistice Capital, LLC By: /s/ Steven Boyd, Managing Member | 4/22/2019 | |
** Signature of Reporting Person |
Date
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Armistice Capital Master Fund Ltd. By: /s/ Steven Boyd, Director | 4/22/2019 | |
** Signature of Reporting Person |
Date
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/s/ Steven Boyd | 4/22/2019 | |
** Signature of Reporting Person |
Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1 Year AYTU BioPharma Chart |
1 Month AYTU BioPharma Chart |
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