Fong Bryant

SEC source: 0001140361-24-010238 · form4.xml · derivative · entry 2

Fong Bryant · CIK 0001542298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,541

Underlying: Common Stock · 37,541 shares

Expires 2034-02-26

F3 · derivative.exercise_date: The options vest in 12 equal monthly installments, becoming fully vested on the one-year anniversary of the date of grant.

SEC source: 0001140361-24-010238 · form4.xml · nonDerivative · entry 1

Fong Bryant · CIK 0001542298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,941

F1 · shares: These shares represent restricted stock units ("RSUs") that will vest in two equal installments, on the six- and 12-month anniversaries of the grant date, becoming fully vested on the one-year anniversary of the grant date, subject to the reporting person's continued service as of the applicable vesting date.

F2 · balance_after: Includes, as of the transaction date, (i) 24,040 RSUs granted on February 26, 2024 and reported on this Form 4, subject to vesting as set forth in footnote (1); (ii) 25,815 RSUs granted on March 6, 2023, which will vest in full on March 6, 2024; and (iii) 34,086 shares of common stock owned by the reporting person.

SEC source: 0001140361-23-041054 · form4.xml · nonDerivative · entry 1

Fong Bryant · CIK 0001542298 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · price: Reflects the weighted average price of sales on August 22, 2023. The shares were sold in multiple transactions at prices ranging from $3.81 to $3.99, inclusive.

F2 · ownership.nature: Represents shares sold by Biomark Capital Fund ("Biomark Capital"). Mr. Fong is a Managing Director and General Partner at Biomark Capital and may have been deemed the beneficial owner of such shares.

SEC source: 0001140361-23-010767 · form4.xml · derivative · entry 3

Fong Bryant · CIK 0001542298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,630

Underlying: Common Stock · 51,630 shares

Expires 2033-03-06

F4 · derivative.exercise_date: The options vest in 12 equal monthly installments, becoming fully vested on the one-year anniversary of the date of grant.

SEC source: 0001140361-23-010767 · form4.xml · nonDerivative · entry 1

Fong Bryant · CIK 0001542298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,901

F1 · shares: These shares represent restricted stock units ("RSUs") that will vest in two equal installments, on the six- and 12-month anniversaries of the grant date, becoming fully vested on the one-year anniversary of the grant date, subject to the reporting person's continued service as of the applicable vesting date.

F2 · balance_after: Includes, as of the transaction date, (i) 25,815 RSUs granted on March 6, 2023 and reported on this Form 4, subject to vesting as set forth in footnote (1); (ii) 13,293 RSUs granted on March 7, 2022, which will vest in full on March 7, 2023; and (iii) 20,793 shares of common stock owned by the reporting person.

SEC source: 0001140361-22-008674 · form4.xml · derivative · entry 3

Fong Bryant · CIK 0001542298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,172

Underlying: Common Stock · 53,172 shares

Expires 2032-03-07

F4 · derivative.exercise_date: The options vest in 12 equal monthly installments, becoming fully vested on the one-year anniversary of the date of grant.

SEC source: 0001140361-22-008674 · form4.xml · nonDerivative · entry 1

Fong Bryant · CIK 0001542298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,086

F1 · shares: These shares represent restricted stock units ("RSUs") that will vest in two equal installments, on the six- and 12-month anniversaries of the grant date, becoming fully vested on the one-year anniversary of the grant date, subject to the reporting person's continued service as of the applicable vesting date.

F2 · balance_after: Includes (i) 26,586 RSUs granted on March 7, 2022 and reported on this Form 4, subject to vesting as set forth in footnote (1); and (ii) 7,500 shares of common stock owned by the reporting person.

SEC source: 0001104659-21-039224 · tm219870-9_4seq1.xml · derivative · entry 6

Fong Bryant · CIK 0001542298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 46,907 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: 0001104659-21-039224 · tm219870-9_4seq1.xml · derivative · entry 5

Fong Bryant · CIK 0001542298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,756 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: 0001104659-21-039224 · tm219870-9_4seq1.xml · derivative · entry 4

Fong Bryant · CIK 0001542298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,322 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: 0001104659-21-039224 · tm219870-9_4seq1.xml · derivative · entry 3

Fong Bryant · CIK 0001542298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,777 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: 0001104659-21-039224 · tm219870-9_4seq1.xml · derivative · entry 2

Fong Bryant · CIK 0001542298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,500 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: 0001104659-21-039224 · tm219870-9_4seq1.xml · nonDerivative · entry 1

Fong Bryant · CIK 0001542298 · Director

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 23,453 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: 0001193805-21-000296 · e620331_4-fong.xml · derivative · entry 1

Fong Bryant · CIK 0001542298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2031-02-25

F1 · derivative.exercise_date: The options vest in twelve equal monthly installments, becoming fully vested on February 25, 2022.

SEC source: 0001104659-20-072544 · a4.xml · nonDerivative · entry 1

Fong Bryant · CIK 0001542298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,953

F1 · security: Represents shares of common stock underlying restricted stock unit grants awarded to the Reporting Person. The restricted stock units will vest on the one-year anniversary of June 10, 2020.

SEC source: 0001193805-20-000293 · e619427_4-fong.xml · derivative · entry 2

Fong Bryant · CIK 0001542298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-02-28

F2 · derivative.exercise_date: The option vests in 12 equal monthly installments, becoming fully vested on the one-year anniversary of the date of grant.

SEC source: 0001193805-20-000293 · e619427_4-fong.xml · nonDerivative · entry 1

Fong Bryant · CIK 0001542298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

F1 · shares: These shares represent restricted stock units ("RSUs"), which will vest in equal monthly installments, becoming fully vested on the one-year anniversary of the grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting.

F1 · balance_after: These shares represent restricted stock units ("RSUs"), which will vest in equal monthly installments, becoming fully vested on the one-year anniversary of the grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting.

SEC source: 0001193805-20-000549 · e619594_4a-fong.xml · nonDerivative · entry 1

Fong Bryant · CIK 0001542298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

F1 · shares: These shares represent restricted stock units ("RSUs"). Subsequent to the filing of the initial Form 4 by the Reporting Person on March 3, 2020, the Board of Directors of the Issuer corrected the vesting schedule of the RSUs. The RSUs will vest in two equal installments, on the six- and 12-month anniversaries of the grant, becoming fully vested on the one-year anniversary of the grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting.

F1 · balance_after: These shares represent restricted stock units ("RSUs"). Subsequent to the filing of the initial Form 4 by the Reporting Person on March 3, 2020, the Board of Directors of the Issuer corrected the vesting schedule of the RSUs. The RSUs will vest in two equal installments, on the six- and 12-month anniversaries of the grant, becoming fully vested on the one-year anniversary of the grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting.

SEC source: 0001104659-19-035980 · a4.xml · derivative · entry 1

Fong Bryant · CIK 0001542298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,907

Underlying: Common Stock · 46,907 shares

Expires 2029-06-13

F1 · derivative.exercise_date: This stock option vests in equal quarterly installments over a one-year period which began on June 13, 2019.

SEC source: 0001193805-19-000292 · e618301_4-fong.xml · derivative · entry 1

Fong Bryant · CIK 0001542298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2029-03-13

F1 · derivative.exercise_date: The option vests in twelve equal monthly installments, becoming fully vested on the one-year anniversary of the date of grant.

F2 · derivative.expiration_date: The option terminates on the earlier of (i) March 13, 2029 and (ii) the one-year anniversary of the reporting person's ceasing to serve as a director of the Issuer.

SEC source: 0001104659-18-043863 · a4.xml · derivative · entry 1

Fong Bryant · CIK 0001542298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,756

Underlying: Common Stock · 22,756 shares

Expires 2028-07-02

F1 · derivative.exercise_date: This stock option vests in equal quarterly installments over a one-year period which began on June 20, 2018.

SEC source: 0001193805-18-000906 · e618131_4-fong.xml · derivative · entry 1

Fong Bryant · CIK 0001542298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,500

Underlying: Common Stock · 17,500 shares

Expires 2028-06-22

F1 · derivative.exercise_date: The option vests in twenty-four equal monthly installments, becoming fully vested on the two year anniversary of the date of grant.

F2 · derivative.expiration_date: The option terminates on the earlier of (i) June 22, 2028 and (ii) the one year anniversary of the reporting person's ceasing to serve as a director of the Issuer.

SEC source: 0001104659-17-043629 · a4.xml · derivative · entry 1

Fong Bryant · CIK 0001542298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,322

Underlying: Common Stock · 18,322 shares

Expires 2027-07-03

F1 · derivative.exercise_date: This stock option vests in equal quarterly installments over a one-year period which begins on June 15, 2017.

SEC source: 0001193805-17-001053 · e616260_4-fong.xml · derivative · entry 1

Fong Bryant · CIK 0001542298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,837

Underlying: Common Stock · 53,837 shares

Expires 2027-06-06

F1 · derivative.exercise_date: The option vests in twenty-four equal monthly installments, becoming fully vested on the two year anniversary of the date of grant.

F2 · derivative.expiration_date: The option terminates on the earlier of (i) June 6, 2027 and (ii) the one year anniversary of the reporting person's ceasing to serve as a director of the Issuer.

SEC source: 0001193805-17-000278 · e615796_4-fong.xml · derivative · entry 1

Fong Bryant · CIK 0001542298 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2027-02-14

F1 · derivative.exercise_date: The option vests in twenty-four equal monthly installments, becoming fully vested on the two year anniversary of the date of grant.

F2 · derivative.expiration_date: The option terminates on the earlier of (i) February 14, 2027 and (ii) the one year anniversary of the reporting person's ceasing to serve as a director of the Issuer.