SEC Form 4 · accession 0001140361-16-047513

Rezolute, Inc. · RZLT

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Executive Officer · Director

Period of report

Feb 9, 2015

Accepted (ET)

Jan 11, 2016 · 5:50 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001509261

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Feb 9, 2015	S$0	842,949	—	D	0	I	Konus Advisory Group, Inc.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrant to Purchase Common Stock^F1	$1.25	Feb 9, 2015	S	39,117	D	Mar 31, 2014	Mar 31, 2019	Common Shares	39,117	0	I
Series A Convertible Preferred Stock^F2,F3	$1.95	Dec 10, 2015	P	76,923	A	Dec 10, 2015	—	Common Shares	76,923	76,923	D

F1Reported securities were held by Konus Advisory Group, Inc., of which reporting person is significant holder, managing member & director. On Feb. 9, 2015, as part of extinguishment of $1,441,795 Konus debt, reported securities were transferred in entirety (giving effect to 1 for 8 reverse split). Reporting person no longer maintains voting or dispositive power of Issuer's shares & warrants previously held by Konus.
F2The Series A Preferred Stock is convertible into common stock of Issuer at price per share of $1.95, subject to terms and conditions of Private Placement Memorandum dated November 3, 2015.
F3The Series A Preferred Stock has no expiration date.