SEC Form 4 · accession 0000899243-18-024031
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)
Sep 7, 2018 · 6:24 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001175680
Table I — non-derivative securities
No Table I lines on this filing.
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 | $1.00 | Jan 31, 2018 | D | 33,333 | D | Jul 28, 2017 | Jul 28, 2022 | Common Stock | 33,333 | 0 | I |
| Warrants (right to buy)F1,F2 | $0.75 | Jan 31, 2018 | A | 33,333 | A | Jan 31, 2018 | Jul 28, 2022 | Common Stock | 33,333 | 33,333 | I |
Explanation of responses
- F1The two transactions reported in Table II above involved the amendment of an outstanding warrant to reduce the exercise price from $1 per share to $0.75 per share. The amendment is reported above as the cancellation of the "old" warrant and the acquisition of a new one.
- F2The reporting person is the sole member of Alpha Advisors, LLC, the investment advisor for Alpha Venture Capital Partners, LP ("AVCP"), and the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. The reporting person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest in such securities.