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  4. [Form 4] AYTU BIOPHARMA, INC Insider Trading Activity

AYTU Insider Grant — 10,000 Restricted Shares Vest 10/03/2026

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Carl C. Dockery, a director of AYTU BioPharma, Inc. (AYTU), reported the grant of 10,000 restricted shares on 10/03/2025. The award carries an exercise price of $0 and is scheduled to vest on 10/03/2026. After this grant, Mr. Dockery beneficially owns 20,440 shares in total. The Form 4 was signed by an attorney-in-fact on 10/07/2025. The filing indicates these are non‑derivative restricted stock awards rather than open-market purchases, which affects the timing of when the shares become tradable.

Positive

  • Insider alignment: Director received 10,000 restricted shares that vest in one year, which can align interests with shareholders
  • Increased insider stake: Beneficial ownership rose to 20,440 shares, strengthening director skin in the game

Negative

  • Restricted and non-tradable until vesting: The grant vests on 10/03/2026, so shares are not immediately marketable
  • No cash paid for grant: Price reported as $0, indicating an award rather than a purchase (dilution potential)

Insights

Director received restricted stock that vests in one year, increasing insider ownership.

The transaction is a 10,000-share restricted stock grant with a $0 price that vests on 10/03/2026. As restricted stock, these shares are awarded rather than purchased and typically align the director's interests with long-term shareholder value.

Key dependencies include the vesting schedule and any continued service requirement; the shares are not immediately liquid. Monitor insider ownership changes over the next 12 months and any disclosures if vesting conditions are unmet or accelerated.

Insider DOCKERY CARL
Role Director
Type Security Shares Price Value
Grant/Award Common Stock 10,000 $0.00 --
Holdings After Transaction: Common Stock — 20,440 shares (Direct)
Footnotes (1)
  1. [object Object]
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
DOCKERY CARL
(Last) (First) (Middle)
C/O AYTU BIOPHARMA, INC.
7900 EAST UNION AVENUE, SUITE 920
(Street)
DENVER CO 80237
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
AYTU BIOPHARMA, INC [ AYTU ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
10/03/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 10/03/2025 A 10,000(1) A $0 20,440 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Grant of restricted stock, which vest on October 3, 2026.
Remarks:
Exhibit 24: Power of Attorney
/s/ Ryan J. Selhorn as attorney-in-fact for Carl C. Dockery 10/07/2025
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR

FAQ

What did AYTU director Carl Dockery report on Form 4?

He reported a grant of 10,000 restricted shares on 10/03/2025, increasing his beneficial ownership to 20,440 shares.

When do the newly granted AYTU shares vest?

The restricted shares are scheduled to vest on 10/03/2026.

Did Carl Dockery purchase the shares for cash?

No; the transaction price is reported as $0, indicating a grant rather than a cash purchase.

How many AYTU shares does Dockery own after the transaction?

He beneficially owns 20,440 shares following the reported grant.

Who signed the Form 4 filing for Carl Dockery?

The form was signed by Ryan J. Selhorn as attorney-in-fact on 10/07/2025.