McLaughlin Gerald W.

SEC source: 0001213900-26-053466 · ownership.xml · nonDerivative · entry 1

McLaughlin Gerald W. · CIK 0001495412 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,000

F1 · shares: The restricted stock units, or RSUs, granted on January 28, 2026 pursuant to Allarity Therapeutics, Inc's Amended and Restated 2021 Equity Incentive Plan, vested in full on the grant date.

SEC source: 0001437749-25-001850 · rdgdoc.xml · derivative · entry 1

McLaughlin Gerald W. · CIK 0001495412 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2035-01-22

F1 · derivative.exercise_date: The stock options, granted on January 22, 2025 pursuant to Allarity Therapeutics, Inc.'s Amended and Restated 2021 Equity Incentive Plan, representing the right to buy shares of common stock, vest 100% on the date of the anniversay of the grant and are exercisable beginning as of that date.

SEC source: 0001437749-25-001798 · rdgdoc.xml · derivative · entry 1

McLaughlin Gerald W. · CIK 0001495412 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-01-22

F1 · derivative.exercise_date: The stock options, granted on January 22, 2025 pursuant to Allarity Therapeutics, Inc.'s Amended and Restated 2021 Equity Incentive Plan, representing the right to buy shares of common stock, vest 100% on the date of the grant and are exercisable beginning as of that date.

SEC source: 0001567619-21-007912 · doc1.xml · nonDerivative · entry 1

McLaughlin Gerald W. · CIK 0001495412 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,401

F1 · shares: Grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of AYTU common stock. The RSUs 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 RSUs vest as follows, and have no voting or dispositive rights until vested: one year vest from date of grant, April 8, 2021 such that the RSUs will be fully vested on April 8, 2022, subject to the reporting person's continuing employment with the Issuer.

F1 · price: Grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of AYTU common stock. The RSUs 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 RSUs vest as follows, and have no voting or dispositive rights until vested: one year vest from date of grant, April 8, 2021 such that the RSUs will be fully vested on April 8, 2022, subject to the reporting person's continuing employment with the Issuer.

SEC source: 0001104659-21-039228 · tm219870-12_4seq1.xml · derivative · entry 6

McLaughlin Gerald W. · CIK 0001495412 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 65,447 shares

Expires not disclosed

F4 · kind: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.exercise_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.expiration_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.

SEC source: 0001104659-21-039228 · tm219870-12_4seq1.xml · derivative · entry 5

McLaughlin Gerald W. · CIK 0001495412 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires not disclosed

F4 · kind: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.exercise_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.expiration_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.

SEC source: 0001104659-21-039228 · tm219870-12_4seq1.xml · derivative · entry 4

McLaughlin Gerald W. · CIK 0001495412 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 395,000 shares

Expires not disclosed

F4 · kind: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.exercise_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.expiration_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.

SEC source: 0001104659-21-039228 · tm219870-12_4seq1.xml · derivative · entry 3

McLaughlin Gerald W. · CIK 0001495412 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 392,688 shares

Expires not disclosed

F4 · kind: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.exercise_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.expiration_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.

SEC source: 0001104659-21-039228 · tm219870-12_4seq1.xml · derivative · entry 2

McLaughlin Gerald W. · CIK 0001495412 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 600,000 shares

Expires not disclosed

F4 · kind: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.exercise_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.expiration_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.

SEC source: 0001104659-21-039228 · tm219870-12_4seq1.xml · nonDerivative · entry 1

McLaughlin Gerald W. · CIK 0001495412 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement") dated as of December 10, 2020, by and among the Company, Aytu BioScience, Inc. ("Parent"), and Neutron Acquisition Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Company (the "Merger") effective as of March 19, 2021 (the "Effective Time").

F2 · kind: At the Effective Time, each issued and outstanding share of common stock of the Issuer (each, a "Share") (excluding any Shares held in the treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 0.1088 (the "Exchange Ratio") shares of Common Stock of Parent (the "Parent Common Stock"), plus the right, if any, to receive cash in lieu of fractional shares of Parent Common Stock into which such Shares would have been converted (as described in the Merger Agreement).

F3 · shares: This number includes 145,000 restricted stock units (each, an "RSU") held by the Reporting Person. At the Effective Time, each RSU that was outstanding prior to the Effective Time immediately and automatically ceased to represent a right to acquire shares of Company Common Stock and was assumed by Parent and converted automatically into a restricted stock unit denominated in Parent Common Stock equal to the number of Shares subject to the RSU prior to the Effective Time multiplied by the Exchange Ratio, and any cash in lieu of fractional shares of Parent Common Stock.

F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement") dated as of December 10, 2020, by and among the Company, Aytu BioScience, Inc. ("Parent"), and Neutron Acquisition Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Company (the "Merger") effective as of March 19, 2021 (the "Effective Time").

F2 · price: At the Effective Time, each issued and outstanding share of common stock of the Issuer (each, a "Share") (excluding any Shares held in the treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 0.1088 (the "Exchange Ratio") shares of Common Stock of Parent (the "Parent Common Stock"), plus the right, if any, to receive cash in lieu of fractional shares of Parent Common Stock into which such Shares would have been converted (as described in the Merger Agreement).

SEC source: 0001104659-21-036716 · tm219870-3_4seq1.xml · nonDerivative · entry 1

McLaughlin Gerald W. · CIK 0001495412 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,171

F1 · kind: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the settlement of Restricted Stock Units and does not represent a sale by the Reporting Person.

SEC source: 0001104659-20-034240 · a4.xml · derivative · entry 2

McLaughlin Gerald W. · CIK 0001495412 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,447

Underlying: Common Stock · 65,447 shares

Expires 2029-03-01

F2 · derivative.exercise_date: On March 1, 2019, the reporting person was granted performance based options to purchase 130,895 shares of common stock. The option was subject to vesting upon the satisfaction of certain performance criteria, which were met with respect to 65,447 shares and were not met with respect to 65,448 shares, in each case as of March 13, 2020.

SEC source: 0001104659-20-034240 · a4.xml · derivative · entry 1

McLaughlin Gerald W. · CIK 0001495412 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2028-07-30

F1 · derivative.exercise_date: On July 30, 2018, the reporting person was granted performance based options to purchase 200,000 shares of common stock. The option was subject to vesting upon the satisfaction of certain performance criteria, which were met with respect to 100,000 shares and were not met with respect to 100,000 shares, in each case as of March 13, 2020

SEC source: 0001104659-20-029267 · a4.xml · derivative · entry 2

McLaughlin Gerald W. · CIK 0001495412 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 395,000

Underlying: Common Stock · 395,000 shares

Expires 2030-03-02

F2 · derivative.exercise_date: This stock option will vest in four equal, annual installments beginning on March 2, 2021.

SEC source: 0001104659-20-029267 · a4.xml · nonDerivative · entry 1

McLaughlin Gerald W. · CIK 0001495412 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 314,500

F1 · security: Represents shares of common stock underlying restricted stock unit grants awarded to the Reporting Person. The restricted stock units will vest in two equal, annual installments beginning on March 2, 2021.

SEC source: 0001104659-19-012433 · a4.xml · derivative · entry 1

McLaughlin Gerald W. · CIK 0001495412 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 523,583

Underlying: Common Stock · 523,583 shares

Expires 2029-03-01

F1 · derivative.exercise_date: This stock option will vest in four equal, annual installments beginning on March 1, 2019.

SEC source: 0001104659-19-016914 · a4a.xml · derivative · entry 1

McLaughlin Gerald W. · CIK 0001495412 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 392,688

Underlying: Common Stock · 392,688 shares

Expires 2029-03-01

F1 · derivative.exercise_date: This stock option will vest in four equal, annual installments beginning on March 1, 2019.

SEC source: 0001104659-18-072099 · a4.xml · nonDerivative · entry 1

McLaughlin Gerald W. · CIK 0001495412 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,500

F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $2.045 to $2.16, inclusive. The reporting person undertakes to provide Neos Therapeutics, Inc., any security holder of Neos Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001104659-18-071882 · a4.xml · nonDerivative · entry 1

McLaughlin Gerald W. · CIK 0001495412 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,403

F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $2.01 to $2.06, inclusive. The reporting person undertakes to provide Neos Therapeutics, Inc., any security holder of Neos Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001104659-18-042932 · a4.xml · derivative · entry 1

McLaughlin Gerald W. · CIK 0001495412 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Common Stock · 600,000 shares

Expires 2028-06-27

F1 · derivative.exercise_date: This stock option was granted pursuant to the Company's 2018 Inducement Plan and vests in equal annual installments over a four-year period which began on June 27, 2018.