SEC Form 4 · accession 0001140361-15-045241
Rezolute, Inc. · RZLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David F Welch
Director
Period of report
Dec 10, 2015
Accepted (ET)
Dec 21, 2015 · 4:33 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001509261
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preferred StockF3,F1,F2 | $1.95 | Dec 10, 2015 | P | 256,410 | A | Dec 10, 2015 | — | Common Shares | 256,410 | 256,410 | I |
Explanation of responses
- F1The Series A Preferred Stock is convertible into common stock of Issuer at a price per share of $1.95, subject to the terms and conditions of the Private Placement Memorandum dated November 3, 2015.
- F2The Series A Preferred Stock has no expiration date.
- F3LRFA, LLC owns shares of common stock, warrants to purchase common stock and Series A Preferred Stock convertible into common stock of Issuer. Dr. Welch is President of LRFA, LLC and has voting and dispositive power of the shares of the Issuer's common stock held by LRFA, LLC.