SEC Form 4 · accession 0000899243-17-025602
CytoDyn Inc. · CYDY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony Caracciolo
Officer — Executive Chairman · Director
Period of report
Nov 8, 2017
Accepted (ET)
Nov 8, 2017 · 4:30 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001175680
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Nov 8, 2017 | A | 200,000 | — | A | 200,000 | I | By limited liability company |
| Common Stock | holding | — | — | — | 26,000 | I | By spouse | |
| Common Stock | holding | — | — | — | 62,136 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants (right to buy)F1,F2 | $0.75 | Nov 8, 2017 | A | 200,000 | D | Nov 8, 2017 | Nov 8, 2022 | Common Stock | 200,000 | 200,000 | I |
Explanation of responses
- F1The reported securities were purchased together, as part of a private offering to accredited investors, at a combined price of $0.50 per share of common stock and a warrant covering 100% of the number of shares of common stock purchased.
- F2The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.