SEC Form 4 · accession 0000899243-18-002767
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
Jan 31, 2018
Accepted (ET)
Feb 2, 2018 · 8:18 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 | Jan 31, 2018 | A | 2,093,972 | — | A | 2,093,972 | I | By Caracciolo Family Trust |
| Common Stock | holding | — | — | — | 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 | $0.75 | Jan 31, 2018 | A | 1,333,334 | A | Jan 31, 2018 | Jan 31, 2023 | Common Stock | 1,333,334 | 1,333,334 | I |
Explanation of responses
- F1The reported securities were purchased together, as part of a registered direct offering, at a combined price of $0.50 per share of common stock and related warrants.