$AYTU|4Mar 17, 4:20 PM ET

AYTU BIOSCIENCE, INC 4

4 · AYTU BIOSCIENCE, INC · Filed Mar 17, 2017

Form 4

Period: 2017-03-16

Chief Business Officer

Transactions

Disposition to Issuer
Employee Stock Option Grant
2017-03-16−50,000→ 0 total
Exercise: $3.23Exp: 2025-11-11→ Common Stock (50,000 underlying)
Award
Employee Stock Option Grant
2017-03-16+50,000→ 50,000 total
Exercise: $0.82Exp: 2025-11-11→ Common Stock (50,000 underlying)
Award
Employee Stock Option Grant
2017-03-16+60,000→ 60,000 total
Exercise: $0.82Exp: 2026-07-07→ Common Stock (60,000 underlying)
Disposition to Issuer
Employee Stock Option Grant
2017-03-16−60,000→ 0 total
Exercise: $3.23Exp: 2026-07-07→ Common Stock (60,000 underlying)

Holdings

Warrant to Purchase Common Stock
Exercise: $6.00From: 2016-05-06Exp: 2021-05-06→ Common Stock (20,834 underlying)
0
Common Stock
601,004
Warrant to Purchase Common Stock
Exercise: $1.86From: 2017-11-02Exp: 2021-11-02→ Common Stock (166,666 underlying)
0

Footnotes (4)

[F1]Of these shares, 165,000 are restricted shares that vest on July 7, 2026, subject to earlier vesting in certain situations.
[F2]33.3% vest on November 11, 2016, 33.3% vest on November 11, 2017 and 33.3% vest on November 11, 2018, subject to the Grantee's continued service as an employee on such dates.
[F3]33.3% vests on the one year, two year and three year anniversary of the date of grant, subject to the Grantee's continued service as an employee on such dates.
[F4]These four 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.

Documents

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