Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AYTU BIOPHARMA, INCAYTU · Entity 7560 | Director | December 21, 2022 | December 23, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AYTU BIOPHARMA, INC
Report date December 21, 2022 · Filed December 23, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 164,089 |
Reported balance
After 2022-12-21 transaction · row 1
1 source rowRow 1 · 2022-12-21 · Disposition to issuer · Disposed 40,000 · Balance 164,089 F1: On December 21, 2022, the reporting person and the Issuer determined to rescind 40,000 vested shares of restricted common stock originally granted to the reporting person on April 16, 2021. The vesting of the remaining restricted shares remains unchanged with 1/12 vesting on the first day of each quarterly anniversary of the grant, such that the restricted shares will be fully vested on the third anniversary of the grant, subject to the reporting person's continued service with the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: On December 21, 2022, the reporting person and the Issuer determined to rescind 40,000 vested shares of restricted common stock originally granted to the reporting person on April 16, 2021. The vesting of the remaining restricted shares remains unchanged with 1/12 vesting on the first day of each quarterly anniversary of the grant, such that the restricted shares will be fully vested on the third anniversary of the grant, subject to the reporting person's continued service with the Issuer.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 21, 2022 Filed Dec 23, 2022 22:31 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | Disposition to issuerCommon Stock | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-22-022001 · doc1.xml · nonDerivative · entry 1 Cantrell Gary · CIK 0001679246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 164,089 F1 · shares: On December 21, 2022, the reporting person and the Issuer determined to rescind 40,000 vested shares of restricted common stock originally granted to the reporting person on April 16, 2021. The vesting of the remaining restricted shares remains unchanged with 1/12 vesting on the first day of each quarterly anniversary of the grant, such that the restricted shares will be fully vested on the third anniversary of the grant, subject to the reporting person's continued service with the Issuer. F1 · price: On December 21, 2022, the reporting person and the Issuer determined to rescind 40,000 vested shares of restricted common stock originally granted to the reporting person on April 16, 2021. The vesting of the remaining restricted shares remains unchanged with 1/12 vesting on the first day of each quarterly anniversary of the grant, such that the restricted shares will be fully vested on the third anniversary of the grant, subject to the reporting person's continued service with the Issuer. Read SEC document |
| April 16, 2021 Filed Apr 16, 2021 20:51 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantCommon Stock | 187,804 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-008229 · doc1.xml · nonDerivative · entry 1 Cantrell Gary · CIK 0001679246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,089 F1 · shares: Grant of restricted shares. The restricted shares have the following accelerated vesting conditions: (1) The consummation of a Sale Event. (2) The closing price of the Company's stock price is equal or greater than forty dollars per share ($40) for two consecutive trading days. (3) The Grantee's service with the Company or a Related Entity is terminated by the Company without Cause (as defined below). The restricted shares vest as follows, and have no voting or dispositive rights until vested: 1/3 on April 16, 2022, and 1/12 on the first day of each quarter thereafter, such that the restricted shares will be fully vested on the third anniversary of the grant, subject to the reporting person's continuing employment with the Issuer. F1 · price: Grant of restricted shares. The restricted shares have the following accelerated vesting conditions: (1) The consummation of a Sale Event. (2) The closing price of the Company's stock price is equal or greater than forty dollars per share ($40) for two consecutive trading days. (3) The Grantee's service with the Company or a Related Entity is terminated by the Company without Cause (as defined below). The restricted shares vest as follows, and have no voting or dispositive rights until vested: 1/3 on April 16, 2022, and 1/12 on the first day of each quarter thereafter, such that the restricted shares will be fully vested on the third anniversary of the grant, subject to the reporting person's continuing employment with the Issuer. Read SEC document |
| June 08, 2020 Filed Jun 12, 2020 21:42 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantEmployee Stock Option Grant · Derivative | 20,000 | $0.00 Strike: $1.45 | $0.00 |
DisclosureSEC source: 0001654954-20-006582 · section16.xml · derivative · entry 2 Cantrell Gary · CIK 0001679246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,038 Underlying: Common Stock · 20,000 shares Expires 2030-06-07 F2 · derivative.exercise_date: 100% vest on June 7, 2021, subject to the Grantee's continued service as a director on such dates. Read SEC document |
| June 08, 2020 Filed Jun 12, 2020 21:42 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantCommon Stock | 10,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001654954-20-006582 · section16.xml · nonDerivative · entry 1 Cantrell Gary · CIK 0001679246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,840 F1 · price: These are restricted shares. 100% vest on June 7, 2021, subject to the Grantee's continued service as a director on such dates. Read SEC document |
| October 24, 2018 Filed Oct 26, 2018 23:47 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantCommon Stock | 150,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-18-014528 · ownership.xml · nonDerivative · entry 1 Cantrell Gary · CIK 0001679246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,840 F1 · price: These are restricted shares which vest on October 24, 2028, subject to earlier vesting in certain situations. F2 · balance_after: Aggregate amount indicated reflects 20-for-1 reverse split and includes additional 2,663 post-split restricted shares previously issued. Read SEC document |
| November 07, 2017 Filed Nov 10, 2017 00:01 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantCommon Stock | 50,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-17-011707 · f4110717cantrell_aytubio.xml · nonDerivative · entry 1 Cantrell Gary · CIK 0001679246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,771 F1 · shares: These are restricted shares that vest on November 7, 2027, subject to earlier vesting in certain situations. F1 · price: These are restricted shares that vest on November 7, 2027, subject to earlier vesting in certain situations. F2 · balance_after: Of these shares, 3,250 are restricted shares that vest on July 12, 2026, subject to earlier vesting in certain situations. Read SEC document |
| March 16, 2017 Filed Mar 17, 2017 20:22 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantEmployee Stock Option Grant · Derivative | 15,000 | $0.00 Strike: $0.82 | $0.00 |
DisclosureSEC source: 0001638599-17-000293 · doc4_4623.xml · derivative · entry 5 Cantrell Gary · CIK 0001679246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2026-07-12 F3 · kind: 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. F2 · derivative.exercise_date: 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. Read SEC document |
| March 16, 2017 Filed Mar 17, 2017 20:22 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | Disposition to issuerEmployee Stock Option Grant · Derivative | 15,000 | $0.00 Strike: $3.23 | $0.00 |
DisclosureSEC source: 0001638599-17-000293 · doc4_4623.xml · derivative · entry 4 Cantrell Gary · CIK 0001679246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires 2026-07-12 F3 · kind: 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. F2 · derivative.exercise_date: 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. Read SEC document |
| February 27, 2017 Filed Mar 1, 2017 23:47 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | Exercise / conversionWarrant to Purchase Common STock · Derivative | 3,750 | $0.00 Strike: $6.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000231 · doc4_4572.xml · derivative · entry 3 Cantrell Gary · CIK 0001679246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,750 shares Expires 2021-05-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 27, 2017 Filed Mar 1, 2017 23:47 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | Exercise / conversionWarrant to Purchase Common Stock · Derivative | 33,333 | $0.00 Strike: $1.86 | $0.00 |
DisclosureSEC source: 0001638599-17-000231 · doc4_4572.xml · derivative · entry 2 Cantrell Gary · CIK 0001679246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 33,333 shares Expires 2021-11-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 27, 2017 Filed Mar 1, 2017 23:47 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | Exercise / conversionCommon Stock | 37,083 | $0.75 | $27,812.25 |
DisclosureSEC source: 0001638599-17-000231 · doc4_4572.xml · nonDerivative · entry 1 Cantrell Gary · CIK 0001679246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,416 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Of these shares, 65,000 are restricted shares that vest on July 12, 2026, subject to earlier vesting in certain situations. Read SEC document |
| February 27, 2017 Filed Mar 8, 2017 21:40 UTC Amendment | AYTU BIOPHARMA, INC AYTU · Entity 7560 | Exercise / conversionWarrant to Purchase Common STock · Derivative | 3,750 | $0.00 Strike: $6.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000261 · doc4a_4598.xml · derivative · entry 3 Cantrell Gary · CIK 0001679246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,750 shares Expires 2021-05-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 27, 2017 Filed Mar 8, 2017 21:40 UTC Amendment | AYTU BIOPHARMA, INC AYTU · Entity 7560 | Exercise / conversionWarrant to Purchase Common Stock · Derivative | 33,333 | $0.00 Strike: $1.86 | $0.00 |
DisclosureSEC source: 0001638599-17-000261 · doc4a_4598.xml · derivative · entry 2 Cantrell Gary · CIK 0001679246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 33,333 shares Expires 2021-11-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 27, 2017 Filed Mar 8, 2017 21:40 UTC Amendment | AYTU BIOPHARMA, INC AYTU · Entity 7560 | Exercise / conversionCommon Stock | 37,083 | $0.75 | $27,812.25 |
DisclosureSEC source: 0001638599-17-000261 · doc4a_4598.xml · nonDerivative · entry 1 Cantrell Gary · CIK 0001679246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,416 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Of these shares, 65,000 are restricted shares that vest on July 12, 2026, subject to earlier vesting in certain situations. Read SEC document |
| November 02, 2016 Filed Nov 4, 2016 20:58 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | PurchaseWarrant to Purchase Common Stock · Derivative | 33,333 | Not disclosed Strike: $1.86 | Not disclosed |
DisclosureSEC source: 0001638599-16-001509 · doc4_4288.xml · derivative · entry 2 Cantrell Gary · CIK 0001679246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,333 Underlying: Common Stock · 33,333 shares Expires 2021-11-02 F1 · price: The shares of stock and warrants were purchased at a purchase price per unit of $1.50. Read SEC document |
| November 02, 2016 Filed Nov 4, 2016 20:58 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | PurchaseCommon Stock | 33,333 | $1.50 | $49,999.50 |
DisclosureSEC source: 0001638599-16-001509 · doc4_4288.xml · nonDerivative · entry 1 Cantrell Gary · CIK 0001679246 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,333 F1 · price: The shares of stock and warrants were purchased at a purchase price per unit of $1.50. F2 · balance_after: Of these shares, 65,000 are restricted shares that vest on July 12, 2026, subject to earlier vesting in certain situations. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.