AYTU BioPharma director files Form 5 with holdings and 2020 trades

Rhea-AI Filing Summary

AYTU BioPharma (AYTU) director filed a Form 5 reporting annual changes in beneficial ownership for the fiscal year ended 06/30/2025.

The filing lists 21,152 common shares held directly and 50 common shares held indirectly through Alpha Venture Capital Management, LLC. It also notes historical transactions: a purchase of 10,000 shares on 11/18/2020 and a sale of 209 shares on 12/30/2020. After the 10:1 reverse split on 12/10/2020, the 11/18/2020 purchase price equated to $9.23 per share, with $1,929.07 attributed to 209 shares, and the 12/30/2020 sale totaled $1,256.09. The filing states the reporting person did not realize any profit in connection with this short-swing purchase and sale.

The direct holdings include 10,000 restricted shares granted on 10/03/2025. A remark notes a correction to totals previously reported on a Form 4 filed on 04/16/2021.

SEC Form 5

FORM 5

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL 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

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Form 3 Holdings Reported.

Form 4 Transactions Reported.

1. Name and Address of Reporting Person^*

DOCKERY CARL

(Last) (First) (Middle)

C/O AYTU BIOPHARMA, INC.

7900 E. 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. Statement for Issuer's Fiscal Year Ended (Month/Day/Year)
06/30/2025

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 at end of Issuer's Fiscal Year (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
				Amount	(A) or (D)	Price
Common Shares	11/18/2020		P(1)	10,000	A	$0.923	50(2)	I	Alpha Venture Capital Management, LLC
Common Shares	12/30/2020		S(1)	209	D	$6.01	0	I	Alpha Venture Capital Parner, LP
Common Shares							21,152(3)	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)
					(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. 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.

2. 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).

3. 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.

	/s/ Ryan Selhorn as attorney-in-fact for Carl Dockery	10/20/2025
	** 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.
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FAQ

What did AYTU (AYTU) disclose in this Form 5?

A director reported annual beneficial ownership, including 21,152 direct shares and 50 indirect shares, plus historical transactions from 2020.

How many AYTU shares does the reporting person beneficially own?

The filing lists 21,152 common shares directly and 50 common shares indirectly via Alpha Venture Capital Management, LLC.

What historical trades are noted in the filing?

A purchase of 10,000 shares on 11/18/2020 and a sale of 209 shares on 12/30/2020, adjusted for the 10:1 reverse split on 12/10/2020.

Was any short-swing profit reported by the AYTU director?

The filing states the reporting person did not realize any profit in connection with the short-swing purchase and sale.

What prices and amounts are associated with the 2020 transactions?

Post-split, the 11/18/2020 purchase price was $9.23 per share with $1,929.07 attributed to 209 shares; the 12/30/2020 sale totaled $1,256.09.

Do the holdings include any restricted shares?

Yes. Direct holdings include 10,000 restricted shares granted on 10/03/2025.

Did the filing note any corrections to prior reports?

Yes. It notes a correction to totals previously reported on a Form 4 filed on 04/16/2021.