Sec Form 13G Filing - Avalo Therapeutics Inc. (AVTX) filing for AYTU BIOPHARMA INC (AYTU) - 2020-04-27

Insider filing report for Changes in Beneficial Ownership

  • Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
  • Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 


 

SCHEDULE 13G

(Amendment No. __)*

 

Under the Securities Exchange Act of 1934

 


 

AYTU BIOSCIENCE, INC.

(Name of Issuer)

 


 

Common Stock, $0.001 Par Value

(Title of Class of Securities)

 

054754700

(CUSIP Number)

 

April 10, 2020

(Date of Event which Requires Filing of this Statement)

 


 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

 

o

Rule 13d-1(b)

 

 

x

Rule 13d-1(c)

 

 

o

Rule 13d-1(d)

 

*

The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act.

 


 

CUSIP No. 054754700

Page 2 of 5

 

 

 

 

1.

Name of Reporting Person
I.R.S. Identification No. of Above Person (Entities Only)
Cerecor Inc.
45-0705648

 

 

2.

Check the Appropriate Box if a Member of a Group

 

 

 

(a) o

 

 

N/A

(b) o

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Delaware

 

 

 

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With

5.

Sole Voting Power
0

 

6.

Shared Voting Power
0

 

7.

Sole Dispositive Power
0

 

8.

Shared Dispositive Power
0

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
0

 

 

10.

Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0

 

 

12.

Type of Reporting Person
CO

 


 

CUSIP No. 054754700

Page 3 of 5

 

Item 1(a)                                             Name of Issuer

 

Aytu Bioscience, Inc. (the “Issuer”)

 

Item 1(b)                                             Address of Issuer’s Principal Executive Offices

 

373 Inverness Parkway, Suite 206, Englewood, Colorado 80112

 

Item 2(a)                                             Name of Person Filing

 

Cerecor Inc. (the “Reporting Person”)

 

Item 2(b)                                             Address of Principal Business Office, or if none, Residence

 

540 Gaither Road, Suite 400, Rockville, Maryland 20850

 

Item 2(c)                                              Citizenship

 

The Reporting Person is a Delaware company.

 

Item 2(d)                                             Title of Class of Securities

 

Common Stock, $0.001 par value per share

 

Item 2(e)                                              CUSIP Number

 

054754700

 

Item 3.                                                         Filing pursuant to Rules 13d-1(b) or 13d-2(b) or (c)

 

Not Applicable

 

Item 4.                                                         Ownership

 

On April 10, 2020 the Reporting Person converted 9,805,845 shares of the Issuer’s convertible preferred stock into 9,805,845 shares of the Issuer’s common stock, and became a 8.32% stockholder in the Issuer.  As of the date of this filing, the Reporting Person does not own any shares of the Issuer’s common stock and therefore has 0% holdings in the Issuer.

 

(a)                                 Amount beneficially owned:

 

0

 

(b)                                 Percent of class:

 

0%

 

(c)                                  Number of shares as to which such person has:

 

The Reporting Person has sole voting and dispositive power of 0 shares.

 


 

CUSIP No. 054754700

Page 4 of 5

 

Item 5.                                                         Ownership of Five Percent or Less of a Class

 

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the       following. X

 

Item 6.                                                         Ownership of More than Five Percent on Behalf of Another Person

 

Not Applicable

 

Item 7.                                                         Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company

 

Not Applicable

 

Item 8.                                                         Identification and Classification of Members of the Group

 

Not Applicable

 

Item 9.                                                         Notice of Dissolution of Group

 

Not Applicable

 

Item 10.                                                  Certification

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under §240.14a-11.

 


 

CUSIP No. 054754700

Page 5 of 5

 

SIGNATURE

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

Date:  April 27, 2020

 

 

CERECOR INC.

 

 

 

By:

/s/ Christopher Sullivan

 

Name:

Christopher Sullivan

 

Title:

Interim Chief Financial Officer