| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 11/11/2024 |
3. Issuer Name and Ticker or Trading Symbol
AYTU BIOPHARMA, INC [ AYTU ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Shares | 1,895 | D | |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Restricted Stock Units | (1) | (1) | Common Shares | 105 | 0 | D | |
| Employee Stock Option (Right to Buy) | (2) | 10/01/2032 | Common Shares | 5,791 | 4 | D | |
| Employee Stock Option (Right to Buy) | (3) | 08/11/2033 | Common Shares | 5,000 | 1.73 | D | |
| Employee Stock Option (Right to Buy) | (4) | 11/06/2034 | Common Shares | 5,000 | 1.84 | D | |
| Explanation of Responses: |
| 1. Restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. The RSUs were granted February 5, 2022, vesting quarterly beginning February 5, 2023, and ending February 5, 2025, with 105 unvested RSUs remaining as of the date of filing of this Form 3. |
| 2. The options were granted October 1, 2022, and vest as follows: 1/3 on October 1, 2023, with the remaining options vesting in 24 equal monthly installments beginning November 1, 2023. |
| 3. The options were granted August 11, 2023, and vest as follows: 1/3 on August 11, 2024, with the remaining options vesting in 24 equal monthly installments beginning September 11, 2024. |
| 4. The options were granted on November 6, 2024, and vest as follows: 1/3 on November 6, 2025, with the remaining options vesting in 24 equal monthly installments beginning December 6, 2025. |
| /s/ Ryan J. Selhorn | 11/13/2024 | |
| ** Signature of Reporting Person | Date | |
| 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 5 (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 Number. | ||
