SEC Form 4 · accession 0000899243-18-002769
CytoDyn Inc. · CYDY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carl Dockery
Director
Period of report
Jan 31, 2018
Accepted (ET)
Feb 2, 2018 · 8:19 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 | Jan 31, 2018 | A | 103,586 | — | A | 7,578,095 | I | See Footnote |
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 | Jan 31, 2018 | A | 66,667 | A | Jan 31, 2018 | Jan 31, 2023 | Common Stock | 66,667 | 66,667 | 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.
- F2The reporting person is the sole member of Alpha Advisors, LLC, the investment advisor for Alpha Venture Capital Partners, LP, and the managing member of Alpha Venture Capital Management, LLC, the general partner of Alpha Venture Capital Partners, LP. The reporting person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest in such securities.