Insider · CIK 0001618149

DOCKERY CARL

Reports to the SEC for 3 companies · DENVER, CO

sec.gov

Transactions

Companies

Filings

CIK

0001618149

Forms 4 and 5

Insider transactions

50 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2026-07-28	AYTUAYTU BIOPHARMA, INCA Award	Director	AAward	+10K sh	—	—	31,152
2025-10-03	AYTUAYTU BIOPHARMA, INCA Award	Director	AAward	+10K sh	—	—	20,440
2024-11-06	AYTUAYTU BIOPHARMA, INCA Award	Director	AAward	+1,500 sh	—	—	10,440
2023-08-11	AYTUAYTU BIOPHARMA, INCA Award	Director	AAward	+1,500 sh	—	—	8,940
2022-12-21	AYTUAYTU BIOPHARMA, INCD Disposition to Issuer	Director	DDisposition to Issuer	−40K sh	—	—	148,805
2021-04-16	AYTUAYTU BIOPHARMA, INCA Award	Director	AAward	+188K sh	—	—	188,805
2020-12-30	AYTUAYTU BIOPHARMA, INCS Sale	Director	SSale	−209 sh	$6.01	−$1,256.09	0
2020-11-18	AYTUAYTU BIOPHARMA, INCP Purchase	Director	PPurchase	+10K sh	$0.92	+$9,230	50
2020-06-08	AYTUAYTU BIOPHARMA, INC · Employee Stock Option GrantA Award	Director	AAward	+40K sh	—	—	40,038
2019-06-18	CYDYCytoDyn Inc. · Stock Options (right to buy)A Award	Director	AAward	+100K sh	—	—	100,000
2019-06-12	CYDYCytoDyn Inc.M Exercise/Conversion	Director	MExercise/Conversion	+250K sh	$0.40	+$100K	8,705,659
2019-06-12	CYDYCytoDyn Inc. · Warrant (Right to Buy)D Disposition to Issuer	Director	DDisposition to Issuer	−250K sh	—	—	0
2019-06-12	CYDYCytoDyn Inc. · Warrant (Right to Buy)M Exercise/Conversion	Director	MExercise/Conversion	−250K sh	—	—	0
2019-06-12	CYDYCytoDyn Inc.M Exercise/Conversion	Director	MExercise/Conversion	+66.7K sh	$0.40	+$26.7K	8,772,326
2019-06-12	CYDYCytoDyn Inc.M Exercise/Conversion	Director	MExercise/Conversion	+33.3K sh	$0.30	+$9,999.9	8,455,659
2019-06-12	CYDYCytoDyn Inc.M Exercise/Conversion	Director	MExercise/Conversion	+1M sh	$0.40	+$400K	8,422,326
2019-06-12	CYDYCytoDyn Inc. · Warrant (Right to Buy)A Award	Director	AAward	+1M sh	—	—	1,000,000
2019-06-12	CYDYCytoDyn Inc. · Warrant (Right to Buy)M Exercise/Conversion	Director	MExercise/Conversion	−1M sh	—	—	0
2019-06-12	CYDYCytoDyn Inc. · Warrant (Right to Buy)D Disposition to Issuer	Director	DDisposition to Issuer	−33.3K sh	—	—	0
2019-06-12	CYDYCytoDyn Inc.M Exercise/Conversion	Director	MExercise/Conversion	+75K sh	$0.40	+$30K	7,422,326
2019-06-12	CYDYCytoDyn Inc. · Warrant (Right to Buy)M Exercise/Conversion	Director	MExercise/Conversion	−33.3K sh	—	—	0
2019-06-12	CYDYCytoDyn Inc. · Warrant (Right to Buy)D Disposition to Issuer	Director	DDisposition to Issuer	−1M sh	—	—	0
2019-06-12	CYDYCytoDyn Inc. · Warrant (Right to Buy)A Award	Director	AAward	+33.3K sh	—	—	33,333
2019-06-12	CYDYCytoDyn Inc. · Warrant (Right to Buy)D Disposition to Issuer	Director	DDisposition to Issuer	−75K sh	—	—	0
2019-06-12	CYDYCytoDyn Inc.A Award	Director	AAward	+712K sh	—	—	9,484,825
2019-06-12	CYDYCytoDyn Inc. · Warrant (Right to Buy)A Award	Director	AAward	+250K sh	—	—	250,000
2019-06-12	CYDYCytoDyn Inc. · Warrant (Right to Buy)M Exercise/Conversion	Director	MExercise/Conversion	−66.7K sh	—	—	0
2019-06-12	CYDYCytoDyn Inc. · Warrant (Right to Buy)D Disposition to Issuer	Director	DDisposition to Issuer	−66.7K sh	—	—	0
2019-06-12	CYDYCytoDyn Inc. · Warrant (Right to Buy)A Award	Director	AAward	+66.7K sh	—	—	66,667
2019-05-08	CYDYCytoDyn Inc. · Warrant (Right to Buy)M Exercise/Conversion	Director	MExercise/Conversion	−75K sh	—	—	0
2019-05-08	CYDYCytoDyn Inc. · Warrant (Right to Buy)A Award	Director	AAward	+75K sh	—	—	75,000
2018-11-16	CYDYCytoDyn Inc. · Stock Options (right to buy)A Award	Director	AAward	+100K sh	—	—	100,000
2018-11-16	CYDYCytoDyn Inc. · Stock Options (right to buy)A Award	Director	AAward	+137K sh	—	—	136,563
2018-11-16	CYDYCytoDyn Inc. · Stock Options (right to buy)A Award	Director	AAward	+75K sh	—	—	75,000
2018-11-16	CYDYCytoDyn Inc. · Stock Options (right to buy)A Award	Director	AAward	+50K sh	—	—	50,000
2018-11-16	CYDYCytoDyn Inc. · Warrants (right to buy)A Award	Director	AAward	+75K sh	—	—	75,000
2018-11-16	CYDYCytoDyn Inc. · Stock Options (right to buy)A Award	Director	AAward	+34K sh	—	—	33,973
2018-11-16	CYDYCytoDyn Inc.A Award	Director	AAward	+7.58M sh	—	—	7,578,095
2018-11-16	CYDYCytoDyn Inc. · Warrants (right to buy)D Disposition to Issuer	Director	DDisposition to Issuer	−250K sh	—	—	0
2018-11-16	CYDYCytoDyn Inc. · Warrants (right to buy)D Disposition to Issuer	Director	DDisposition to Issuer	−66.7K sh	—	—	0
2018-11-16	CYDYCytoDyn Inc. · Warrants (right to buy)D Disposition to Issuer	Director	DDisposition to Issuer	−33.3K sh	—	—	0
2018-11-16	CYDYCytoDyn Inc. · Warrants (right to buy)D Disposition to Issuer	Director	DDisposition to Issuer	−1M sh	—	—	0
2018-11-16	CYDYCytoDyn Inc. · Warrants (right to buy)D Disposition to Issuer	Director	DDisposition to Issuer	−75K sh	—	—	0
2018-11-16	CYDYCytoDyn Inc. · Warrants (right to buy)A Award	Director	AAward	+1M sh	—	—	1,000,000
2018-11-16	CYDYCytoDyn Inc. · Stock Options (right to buy)D Disposition to Issuer	Director	DDisposition to Issuer	−250K sh	—	—	0
2018-11-16	CYDYCytoDyn Inc. · Stock Options (right to buy)A Award	Director	AAward	+50K sh	—	—	50,000
2018-11-16	CYDYCytoDyn Inc. · Stock Options (right to buy)D Disposition to Issuer	Director	DDisposition to Issuer	−100K sh	—	—	0
2018-11-16	CYDYCytoDyn Inc. · Stock Options (right to buy)D Disposition to Issuer	Director	DDisposition to Issuer	−137K sh	—	—	0
2018-11-16	CYDYCytoDyn Inc. · Stock Options (right to buy)D Disposition to Issuer	Director	DDisposition to Issuer	−75K sh	—	—	0
2018-11-16	CYDYCytoDyn Inc. · Stock Options (right to buy)A Award	Director	AAward	+250K sh	—	—	250,000

Recent filings

Accepted (ET)
Jul 304
DOCKERY CARL0001437749-26-025076
SEC(opens sec.gov)
Oct 205
DOCKERY CARL0000912282-25-001096
SEC(opens sec.gov)
Oct 74
DOCKERY CARL0001437749-25-030634
SEC(opens sec.gov)
Nov 84
DOCKERY CARL0000912282-24-000764
SEC(opens sec.gov)
Aug 154
DOCKERY CARL0000912282-23-000300
SEC(opens sec.gov)
Dec 234
DOCKERY CARL0001567619-22-021997
SEC(opens sec.gov)
Apr 164
DOCKERY CARL0001567619-21-008238
SEC(opens sec.gov)
Aug 174
DOCKERY CARL0001654954-20-009234
SEC(opens sec.gov)
Jun 194
DOCKERY CARL0000899243-19-017507
SEC(opens sec.gov)
Jun 144
DOCKERY CARL0000899243-19-017093
SEC(opens sec.gov)

Companies

Address

C/O AYTU BIOPHARMA, INC. 7900 EAST UNION AVENUE, SUITE 920

DENVER, CO, 80237