<SEC-DOCUMENT>0001654954-19-012301-index.html : 20191104 <SEC-HEADER>0001654954-19-012301.hdr.sgml : 20191104 <ACCEPTANCE-DATETIME>20191104090600 ACCESSION NUMBER: 0001654954-19-012301 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 11 CONFORMED PERIOD OF REPORT: 20191031 ITEM INFORMATION: Entry into a Material Definitive Agreement ITEM INFORMATION: Completion of Acquisition or Disposition of Assets ITEM INFORMATION: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant ITEM INFORMATION: Unregistered Sales of Equity Securities ITEM INFORMATION: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year ITEM INFORMATION: Regulation FD Disclosure ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20191104 DATE AS OF CHANGE: 20191104 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AYTU BIOSCIENCE, INC CENTRAL INDEX KEY: 0001385818 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 470883144 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-38247 FILM NUMBER: 191188372 BUSINESS ADDRESS: STREET 1: 373 INVERNESS PARKWAY STREET 2: SUITE 206 CITY: ENGLEWOOD STATE: CO ZIP: 80112 BUSINESS PHONE: (720) 437-6580 MAIL ADDRESS: STREET 1: 373 INVERNESS PARKWAY STREET 2: SUITE 206 CITY: ENGLEWOOD STATE: CO ZIP: 80112 FORMER COMPANY: FORMER CONFORMED NAME: AYTU BIOSCIENCE, INC. DATE OF NAME CHANGE: 20150609 FORMER COMPANY: FORMER CONFORMED NAME: Rosewind CORP DATE OF NAME CHANGE: 20070110 </SEC-HEADER> <DOCUMENT> <TYPE>8-K <SEQUENCE>1 <FILENAME>aytu_8k.htm <DESCRIPTION>CURRENT REPORT <TEXT> Document 1 - file: aytu_8k.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-3.1 <SEQUENCE>2 <FILENAME>aytu_ex31.htm <DESCRIPTION>CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES G CONVERTIBLE PREFERRED STOCK <TEXT> Document 2 - file: aytu_ex31.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.1 <SEQUENCE>3 <FILENAME>aytu_ex101.htm <DESCRIPTION>FIRST AMENDMENT TO ASSET PURCHASE AGREEMENT, DATED NOVEMBER 1, 2019 <TEXT> Document 3 - file: aytu_ex101.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.2 <SEQUENCE>4 <FILENAME>aytu_ex102.htm <DESCRIPTION>REGISTRATION RIGHTS AGREEMENT, DATED NOVEMBER 1, 2019 <TEXT> Document 4 - file: aytu_ex102.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.3 <SEQUENCE>5 <FILENAME>aytu_ex103.htm <DESCRIPTION>FORM OF CERECOR VOTING AGREEMENT, DATED NOVEMBER 1, 2019 <TEXT> Document 5 - file: aytu_ex103.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.4 <SEQUENCE>6 <FILENAME>aytu_ex104.htm <DESCRIPTION>FORM OF SECURITY HOLDER VOTING AGREEMENT, DATED NOVEMBER 1, 2019 <TEXT> Document 6 - file: aytu_ex104.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.5 <SEQUENCE>7 <FILENAME>aytu_ex105.htm <DESCRIPTION>FORM OF OFFICER VOTING AGREEMENT, DATED NOVEMBER 1, 2019 <TEXT> Document 7 - file: aytu_ex105.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.6 <SEQUENCE>8 <FILENAME>aytu_ex106.htm <DESCRIPTION>CONSENT AND LIMITED WAIVER AGREEMENT, DATED NOVEMBER 1, 2019 <TEXT> Document 8 - file: aytu_ex106.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.7 <SEQUENCE>9 <FILENAME>aytu_ex107.htm <DESCRIPTION>TRANSITION SERVICES AGREEMENT, DATED NOVEMBER 1, 2019 <TEXT> Document 9 - file: aytu_ex107.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.1 <SEQUENCE>10 <FILENAME>aytu_ex991.htm <DESCRIPTION>PRESS RELEASE, DATED NOVEMBER 4, 2019 <TEXT> Document 10 - file: aytu_ex991.htm
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>11 <FILENAME>schi.jpg <DESCRIPTION>IMAGE <TEXT> Document 11 - file: schi.jpg
</DOCUMENT> </SEC-DOCUMENT>