Amended Current Report Filing (8-k/a)
November 04 2019 - 5:17PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Amendment No. 1
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of
1934
Date of
Report (Date of earliest event reported): October 31, 2019
AYTU BIOSCIENCE, INC.
(Exact
name of registrant as specified in its charter)
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Delaware
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001-38247
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47-0883144
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(State
or other jurisdiction of incorporation)
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(Commission
File Number)
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(IRS
Employer Identification No.)
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373 Inverness Parkway, Suite 206
Englewood, CO 80112
(Address
of principal executive offices, including Zip Code)
Registrant’s
telephone number, including area code: (720) 437-6580
N/A
(Former
name or former address, if changed since last report)
Check
the appropriate box below if the Form 8-K filing is intended
to simultaneously satisfy the filing obligation of the registrant
under any of the following provisions:
☐
Written
communications pursuant to Rule 425 under the Securities Act
(17 CFR 230.425)
☐
Soliciting material
pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12)
☐
Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange
Act (17 CFR 240.14d-2(b))
☐
Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange
Act (17 CFR 240.13e-4(c))
Securities
registered pursuant to Section 12(b) of the Act:
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Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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Common
Stock, par value $0.0001 per share
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AYTU
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The
NASDAQ Stock Market LLC
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Indicate
by check mark whether the registrant is an emerging growth company
as defined in Rule 405 of the Securities Act of 1933 (§230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of
1934 (§240.12b-2 of this chapter).
rging
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.
Explanatory Note
On November 4,
2019, Aytu BioScience, Inc. (the “Company”), filed a
Current Report on Form 8-K (the “Original Form 8-K”)
that included Exhibit 10.6. The purpose of this amendment on Form
8-K (this “Amendment”) is to refile Exhibit 10.6 to
include certain exhibits to Exhibit 10.6 that were inadvertently
omitted. Exhibit 10.6 to this document supersedes Exhibit 10.6
filed with the Original Form 8-K. The exhibit filed with this
Amendment otherwise remains unchanged from Exhibit 10.6 filed with
the Original Form 8-K and nothing else in the Original Form 8-K is
being amended.
This Amendment
should be read in conjunction with the Original Form 8-K and the
Company’s other filings with the SEC. Except as stated
herein, this Amendment does not reflect events occurring after the
filing of the Original Form 8-K with the SEC on November 4, 2019,
and no attempt has been made in this Amendment to modify or update
other disclosures as presented in the Original Form
8-K.
Item 9.01 Financial Statements and
Exhibits.
(d)
The following exhibit is being filed herewith:
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Exhibit
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Description
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Consent
and Limited Waiver Agreement, dated November 1, 2019
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SIGNATURES
Pursuant to the
requirements of the Securities Exchange Act of 1934, the registrant
has duly caused this report to be signed on its behalf by the
undersigned hereunto duly authorized.
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AYTU
BIOSCIENCE, INC.
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Date:
November 4, 2019
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By:
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/s/ Joshua R. Disbrow
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Joshua
R. Disbrow
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Chief
Executive Officer
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