|
/s/ Joshua R Disbrow
Joshua R. Disbrow
Chairman and Chief Executive Officer |
| | | |
Name
|
| |
Age
|
| |
Director Since
|
| |
Position(s) with Aytu
|
|
Joshua R. Disbrow | | |
47
|
| | January 2016 | | |
Chairman and Chief Executive Officer
|
|
Gary V. Cantrell | | |
66
|
| | July 2016 | | | Director | |
Carl C. Dockery | | |
59
|
| | April 2016 | | | Director | |
John A. Donofrio, Jr. | | |
54
|
| | July 2016 | | | Director | |
Michael E, Macaluso | | |
68
|
| | April 2015 | | | Director | |
| | |
Year Ended June 30,
|
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| | |
2021
|
| |
2020
|
| ||||||
Audit fees
|
| | | $ | 216,000 | | | | | $ | 226,000 | | |
Audit related fees(1)
|
| | | | 63,000 | | | | | | 68,000 | | |
Total fees
|
| | | $ | 279,000 | | | | | $ | 294,000 | | |
| | |
Disbrow
|
| |
Cantrell
|
| |
Dockery
|
| |
Donofrio
|
| |
Macaluso
|
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Public Company Board
|
| | | | X | | | | | | | | | | | | X | | | | | | | | | | | | X | | |
Public Company Executive
|
| | | | X | | | | | | X | | | | | | | | | | | | X | | | | | | X | | |
Pharmaceutical Industry
|
| | | | X | | | | | | X | | | | | | X | | | | | | X | | | | | | X | | |
Clinical Experience
|
| | | | | | | | | | X | | | | | | | | | | | | | | | | | | X | | |
Financial Analysis/Accounting
|
| | | | | | | | | | | | | | | | X | | | | | | X | | | | | | | | |
Information Technology
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Project Management
|
| | | | | | | | | | | | | | | | | | | | | | X | | | | | | | | |
Environmental Sustainability
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Commercial Operations
|
| | | | X | | | | | | X | | | | | | | | | | | | X | | | | | | | | |
Sales & Marketing
|
| | | | X | | | | | | X | | | | | | | | | | | | | | | | | | | | |
Supply Chain/Logistics
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Strategic Planning
|
| | | | X | | | | | | X | | | | | | | | | | | | X | | | | | | | | |
Government Relations, Public Policy or Regulatory
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Mergers & Acquisitions/ Business Development
|
| | | | X | | | | | | X | | | | | | | | | | | | X | | | | | | | | |
Talent Acquisition
|
| | | | X | | | | | | X | | | | | | | | | | | | X | | | | | | X | | |
| | |
Male
|
| | | | | | | |
Female
|
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Total Number of Directors
|
| | | | | | | | | | 5 | | | | |||||
Part I: Gender Identity | | | | | | | | | | | | | | | |||||
Directors
|
| | | | 5 | | | | | | | | | | | | 0 | | |
Part II: Demographic Background | | | | | | | | | | | | | | | | | | | |
White
|
| | | | 5 | | | | | | | | | | | | 0 | | |
Did Not Disclose Demographic Background
|
| | | | | | | | | | 0 | | | | | | | | |
Directors who are Military Veterans:
|
| | | | | | | | | | 0 | | | | | | | | |
Directors with Disability:
|
| | | | | | | | | | 0 | | | | | | | | |
Name
|
| |
Age
|
| |
Position
|
|
Joshua R. Disbrow | | |
47
|
| | Chairman and Chief Executive Officer | |
Mark K. Oki | | |
53
|
| | Chief Financial Officer | |
Richard Eisenstadt | | |
63
|
| |
Former Chief Financial Officer, Secretary, and Treasurer
|
|
David Green | | |
59
|
| |
Former Chief Financial Officer, Secretary, and Treasurer
|
|
Name
|
| |
Fees Earned
or Paid in Cash |
| |
All Other
Compensation |
| |
Total
|
| |||||||||
Gary V. Cantrell(2)(3)
|
| | | $ | 55,000 | | | | | $ | 1,218,848(1) | | | | | $ | 1,273,848 | | |
Carl C. Dockery(2)(3)
|
| | | $ | 70,000 | | | | | $ | 1,218,848(1) | | | | | $ | 1,288,848 | | |
John A. Donofrio Jr.(2)(3)
|
| | | $ | 75,000 | | | | | $ | 1,218,848(1) | | | | | $ | 1,293,848 | | |
Michael E. Macaluso(2)(3)
|
| | | $ | 70,000 | | | | | $ | 1,218,848(1) | | | | | $ | 1,288,848 | | |
Steven J. Boyd(2)(3)(4)
|
| | | $ | — | | | | | $ | — | | | | | $ | — | | |
Name and Principal Position (a)
|
| |
Year
(b) |
| |
Salary
($) (c) |
| |
Bonus
($) (d) |
| |
Stock
Award ($) (e) |
| |
Option
Award ($)(1) (f) |
| |
Non-Equity
Incentive Plan Compensation ($) (g) |
| |
Change in
Pension Value and Nonqualified Deferred Compensation Earnings ($) (h) |
| |
All Other
Compensation ($) (i) |
| |
Total ($)
(j) |
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Named Executive Officers: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Joshua R. Disbrow
Chief Executive Officer since December 2012 |
| | | | 2021 | | | | | $ | 545,000 | | | | | $ | 462,203 | | | | | $ | 5,192,000 | | | | | $ | — | | | | | | — | | | | | | — | | | | | | — | | | | | $ | 6,199,203 | | |
| | | 2020 | | | | | $ | 607,620 | | | | | $ | 185,000 | | | | | $ | 652,500 | | | | | $ | 140,330 | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | 1,585,450 | | | ||
Richard Eisenstadt(1)
Former Chief Financial Officer, Secretary and Treasurer since April 2021 |
| | | | 2021 | | | | | $ | 151,934 | | | | | $ | 175,000 | | | | | $ | 455,947 | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | 782,881 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | ||
David A. Green(2)
Former Chief Financial Officer, Secretary and Treasurer |
| | | | 2021 | | | | | $ | 345,192 | | | | | $ | 430,463 | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | 500,000 | | | | | $ | 1,275,655 | | |
| | | 2020 | | | | | $ | 400,046 | | | | | $ | 150,000 | | | | | $ | 362,500 | | | | | $ | 140,330 | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | 1,052,876 | | |
| | |
Option Awards
|
| |
Stock Awards
|
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Name
|
| |
Number of
Securities Underlying Unexercised Options Exercisable (#) |
| |
Number of
Securities Underlying Unexercised Options Unexercisable (#) |
| |
Equity
Incentive Plan Awards: Number of Securities Underlying Unexercised Unearned Options (#) |
| |
Option
Exercise Price ($) |
| |
Option
Expiration Date |
| |
Number of
Shares or Units of Stock That Have Not Vested (#) |
| |
Market
Value of Shares or Units of Stock That Have Not Vested ($)(1) |
| |
Equity
Incentive Plan Awards: Number of Unearned Shares, Units or Other Rights That Have Not Vested (#) |
| |
Equity
Incentive Plan Awards: Market or Payout Value of Unearned Shares, Units or Other Rights That Have Not Vested ($) |
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Named Executive Officers: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Joshua R. Disbrow
Chief Executive Officer |
| | | | 2,500 | | | | | | 7,500 | | | | | | — | | | | | $ | 14.50 | | | | | | 6/8/2030 | | | | | | — | | | | | $ | — | | | | | | — | | | | | $ | — | | |
| | | 13 | | | | | | — | | | | | | — | | | | | | 3,280.00 | | | | | | 11/11/2025 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
| | | 15 | | | | | | — | | | | | | — | | | | | | 3,280.00 | | | | | | 7/7/2026 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
| | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 750 | | | | | | 3,758 | | | | | | — | | | | | | — | | | ||
| | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 44,550 | | | | | | 223,196 | | | | | | — | | | | | | — | | | ||
| | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 800,000 | | | | | | 4,008,000 | | | | | | — | | | | | | — | | | ||
| | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 33,750 | | | | | | 169,088 | | | | | | — | | | | | | — | | | ||
| | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 48 | | | | | | 240 | | | | | | — | | | | | | — | | |
Total | | | | | 2,528 | | | | | | 7,500 | | | | | | — | | | | | $ | | | | | | | | | | | | | 879,098 | | | | | $ | 4,404,282 | | | | | | — | | | | | $ | — | | |
Richard Eisenstadt
Former Chief Financial Officer |
| | | | — | | | | | | — | | | | | | — | | | | | $ | — | | | | | | — | | | | | | 510 | | | | | $ | 2,555 | | | | | | — | | | | | $ | — | | |
| | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 5,440 | | | | | | 27,254 | | | | | | — | | | | | | — | | | ||
| | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 55,000 | | | | | | 275,550 | | | | | | — | | | | | | — | | |
Total | | | | | — | | | | | | — | | | | | | — | | | | | $ | | | | | | | | | | | | 60,950 | | | | | $ | 305,359 | | | | | | — | | | | | $ | — | | | |
David A. Green
Former Chief Financial Officer |
| | | | 10,000 | | | | | | — | | | | | | — | | | | | $ | 14.50 | | | | | | 6/8/2030 | | | | | | — | | | | | $ | — | | | | | | — | | | | | $ | — | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | |
Number of
Shares Beneficially Owned |
| |
Percentage of
Shares Beneficially Owned |
| ||||||
Non-employee Directors | | | | | | | | | | | | | |
Macaluso, Michael(1)
|
| | | | 212,091 | | | | | | * | | |
Cantrell, Gary(2)
|
| | | | 206,093 | | | | | | * | | |
Dockery, Carl(3)
|
| | | | 208,077 | | | | | | * | | |
Donofrio, John(4)
|
| | | | 207,075 | | | | | | * | | |
Named Officers | | | | | | | | | | | | | |
Disbrow, Joshua(5)
|
| | | | 904818 | | | | | | 2.7% | | |
Oki, Mark(6)
|
| | | | 100,000 | | | | | | * | | |
All directors and executive officers as a group, including those named above (six persons)
|
| | | | 1,835,654 | | | | | | 5.5% | | |
5% or more Beneficial Owners
Armistice Capital, LLC(7) |
| | | | 2,190,316 | | | | | | 6.6% | | |