# EDGAR Filing Document

**Accession Number:** 0001385818
**File Stem:** 0000912282-25-001096
**Filing Date:** 2025-10
**Character Count:** 7425
**Document Hash:** 6248b3639d4e69e21d6be1e98bb16a1e
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000912282-25-001096.hdr.sgml**: 20251020

**ACCESSION NUMBER**: 0000912282-25-001096

**CONFORMED SUBMISSION TYPE**: 5

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20250630

**FILED AS OF DATE**: 20251020

**DATE AS OF CHANGE**: 20251020

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** DOCKERY CARL
- **CENTRAL INDEX KEY:** 0001618149

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 5
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38247
- **FILM NUMBER:** 251403773

**MAIL ADDRESS:**
- **STREET 1:** P.O. BOX 2477
- **CITY:** LAKELAND
- **STATE:** FL
- **ZIP:** 33806-2477
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** AYTU BIOPHARMA, INC
- **CENTRAL INDEX KEY:** 0001385818
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 470883144
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 0630

**BUSINESS ADDRESS:**
- **STREET 1:** 7900 E. UNION AVENUE
- **STREET 2:** SUITE 920
- **CITY:** DENVER
- **STATE:** CO
- **ZIP:** 80237
- **BUSINESS PHONE:** (720) 437-6580

**MAIL ADDRESS:**
- **STREET 1:** 7900 E. UNION AVENUE
- **STREET 2:** SUITE 920
- **CITY:** DENVER
- **STATE:** CO
- **ZIP:** 80237

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** AYTU BIOSCIENCE, INC
- **DATE OF NAME CHANGE:** 20150609

**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

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

## FORM 5

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] 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**<sup>*</sup><br>DOCKERY CARL<br><sub>(Last) (First) (Middle)</sub><br>C/O AYTU BIOPHARMA, INC.<br>7900 E. UNION AVENUE, SUITE 920<br><sub>(Street)</sub><br>DENVER, CO 80237<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-06-30 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>AYTU BIOPHARMA, INC [ AYTU ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Shares | 2020-11-18 |  | P<sup>(1)</sup> |  | 10000 | A | $0.923 | 50<sup>(2)</sup> | I | Alpha Venture Capital Management, LLC |
| Common Shares | 2020-12-30 |  | S<sup>(1)</sup> |  | 209 | D | $6.01 | 0 | I | Alpha Venture Capital Parner, LP |
| Common Shares |  |  |  |  |  |  |  | 21152<sup>(3)</sup> | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(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.

**Signature:** /s/ Ryan Selhorn as attorney-in-fact for Carl Dockery  
**Date:** 2025-10-20

### Remarks:

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.**