UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
 
FORM 10-Q/A
Amendment No. 1
 
QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
 
For the Quarterly Period Ended: December 31, 2018
 
or
 
TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
 
For the transition period from                      to                     
 
Commission File No. 001-38247
 
AYTU BIOSCIENCE, INC.
(Exact name of registrant as specified in its charter)
 
Delaware
 
47-0883144
(State or other jurisdiction of
incorporation or organization)
 
(IRS Employer
Identification No.)
 
373 Inverness Parkway, Suite 206
Englewood, Colorado 80112
(Address of principal executive offices, including zip code)
 
(720) 437-6580
(Registrant’s telephone number, including area code)
 
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.    Yes       No  
 
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).    Yes       No  
 
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
 
Large accelerated filer
Accelerated filer
Non-accelerated filer
Smaller reporting company
 
Emerging growth company
 
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
 
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).    Yes       No  
 
As of February 6, 2019, there were 12,390,435 shares of Common Stock outstanding.
 

 
 
 
EXPLANATORY NOTE
 
Aytu Bioscience, Inc. (the “Company”) is filing this Amendment No. 1 (this “Amendment”) to its Quarterly Report on Form 10-Q for the quarter ended December 31, 2018 (the “Form 10-Q”), originally filed on February 7, 2019. This Amendment is an exhibit-only filing in connection with the Company’s withdrawal of its request for confidential treatment of certain portions of Exhibit 10.2, as originally filed with the Form 10-Q. This Amendment is being filed solely to re-file Exhibit 10.2 to use the new procedures for redacting immaterial information without submitting a request for confidential treatment based on the SEC’s adoption of certain rule amendments to modernize and simplify certain disclosure requirements in Regulation S-K and related rules and forms comments from. In addition, as required by Rule 12b-15 under the Securities Exchange Act of 1934, as amended, new certifications by our principal executive officer and principal financial officer are filed as exhibits to this Amendment.
 
This Amendment is limited in scope to the items identified above and should be read in conjunction with the Form 10-Q. This Amendment does not reflect events occurring after the filing of the Form 10-Q and no revisions are being made to the Company’s financial statements pursuant to this Amendment. Other than the filing of the information identified above, this Amendment does not modify or update the disclosure in the Form 10-Q in any way.
 
 
 
 
  PART II. OTHER INFORMATION
 
Item 6. Exhibits.
 
Exhibit
Number
 
Description
 
Promissory Note Issued to Armistice Capital dated November 29, 2018. (Incorporated by reference to Exhibit 10.1 of the Registrant’s Current Report on Form 8-K filed December 4, 2018).
 
 
 
 
License, Development, Manufacturing and Supply Agreement dated November 2, 2018 between Aytu BioScience, Inc. and TRIS Pharma, Inc.*.
 
 
 
 
Exchange Agreement dated February 5, 2019. (Incorporated by reference to Exhibit 10.3 to the Registrant’s Quarterly Report on Form 10-Q for the Quarter Ended December 31, 2018 filed February 7, 2019.
 
 
 
 
Form of Certificate of Designation of Preferences, Rights and Limitations of Series E Convertible Preferred Stock. (Incorporated by reference to Exhibit 10.4 to the Registrant’s Quarterly Report on Form 10-Q for the Quarter Ended December 31, 2018 filed February 7, 2019.
 
 
 
 
Form of Warrant. (Incorporated by reference to Exhibit 10.5 to the Registrant’s Quarterly Report on Form 10-Q for the Quarter Ended December 31, 2018 filed February 7, 2019.
 
 
 
 
Waiver of Blocker dated February 5, 2019. (Incorporated by reference to Exhibit 10.6 to the Registrant’s Quarterly Report on Form 10-Q for the Quarter Ended December 31, 2018 filed February 7, 2019.
 
 
 
 
Certificate of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
 
 
 
 
Certificate of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
 
 
 
 
Certificate of Chief Executive Officer and Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002**.
 
 
 
101
 
XBRL (eXtensible Business Reporting Language). The following materials from Aytu BioScience, Inc.’s Quarterly Report on Form 10-Q for the quarter ended December 31, 2018 formatted in XBRL: (i) the Consolidated Balance Sheet, (ii) the Consolidated Statement of Operations, (iii) the Consolidated Statement of Stockholders’ Equity (Deficit), (iv) the Consolidated Statement of Cash Flows, and (v) the Consolidated Notes to the Financial Statements. (Incorporated by reference to Exhibit 101 to the Registrant’s Quarterly Report on Form 10-Q for the Quarter Ended December 31, 2018 filed February 7, 2019.
 
*   Portions of this exhibit have been redacted in compliance with Regulation S-K Item 601(b)(10).
 
** The certification attached as Exhibit 32.1 accompanying this Quarterly Report on Form 10-Q pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, shall not be deemed “filed” by the Registrant for purposes of Section 18 of the Securities Exchange Act of 1934, as amended.
 
 
 
 
21
 
 
 
 
  SIGNATURES
 
Pursuant to the requirements of the Securities and Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
 
 
AYTU BIOSCIENCE, INC.
 
 
 
 
 
 
By:  
/s/ Joshua R. Disbrow
 
 
 
Joshua R. Disbrow  
 
 
 
Chief Executive Officer(principal executive officer)  
Date: May 14, 2019
 
 
 
By:  
/s/ David A. Green
 
 
 
David A. Green  
 
 
 
Chief Financial Officer (principal financial and accounting officer)  
Date: May 14, 2019
 
  
 
 
 
 
 
 
 
 
 
 
22
 
 
 
AYTU BioPharma (NASDAQ:AYTU)
Historical Stock Chart
From Feb 2024 to Mar 2024 Click Here for more AYTU BioPharma Charts.
AYTU BioPharma (NASDAQ:AYTU)
Historical Stock Chart
From Mar 2023 to Mar 2024 Click Here for more AYTU BioPharma Charts.