Carl Dockery - Jun 30, 2025 Form 5 Insider Report for AYTU BIOPHARMA, INC (AYTU)

Role
Director
Signature
/s/ Ryan Selhorn as attorney-in-fact for Carl Dockery
Stock symbol
AYTU
Transactions as of
Jun 30, 2025
Transactions value $
$7,974
Form type
5
Date filed
10/20/2025, 03:56 PM
Previous filing
Nov 8, 2024
Next filing
Oct 7, 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
DOCKERY CARL Director C/O AYTU BIOPHARMA, INC., 7900 E. UNION AVENUE, SUITE 920, DENVER /s/ Ryan Selhorn as attorney-in-fact for Carl Dockery 2025-10-20 0001618149

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AYTU Common Shares Purchase $9.23K +10K $0.92 50 Nov 18, 2020 Alpha Venture Capital Management, LLC F1, F2
transaction AYTU Common Shares Sale -$1.26K -209 -100% $6.01* 0 Dec 30, 2020 Alpha Venture Capital Parner, LP F1
holding AYTU Common Shares 21.2K Jun 30, 2025 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Reporting Person's purchase and sale of AYTU common shares (the "Shares") reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 209 Shares sold on December 30, 2020, with the Reporting Person's purchase of 10,000 Shares on November 18, 2020. After taking into consideration the Issuer's 10:1 reverse stock split on December 10, 2020, the price for the November 18, 2020, purchase was $9.23 per share, or a total purchase price of $1,929.07 for 209 Shares. The total sale price of 209 Shares on December 30, 2020, was $1,256.09. THE REPORTING PERSON DID NOT REALIZE ANY PROFIT IN CONNECTION WITH THE SHORT-SWING PURCHASE AND SALE.
F2 Represents total Shares held following stock splits on June 30, 2016 (12:1), August 25, 2017 (20:1), August 13, 2018 (20:1), December 10, 2020 (10:1) and January 6, 2023 (20:1).
F3 Includes 10,000 restricted shares granted to the Reporting Person on October 3, 2025, and reported on a Form 4 filed with the Securities and Exchange Commission on October 7, 2025.

Remarks:

The total direct shares reported above in Table I, Column 5, include a correction to an error in the total number of securities reported in Column 5 of Table I on the Form 4 filed with the Securities and Exchange Commission on April 16, 2021.