SEC Form 4 · accession 0001140361-17-006314
Rezolute, Inc. · RZLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David F Welch
Director
Period of report
Feb 7, 2017
Accepted (ET)
Feb 13, 2017 · 5:49 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 StockF1 | Feb 7, 2017 | P | 5,000 | $0.99 | A | 15,000 | I | By Welch Group |
| Common StockF1 | Feb 8, 2017 | P | 5,000 | $0.98 | A | 20,000 | I | By Welch Group |
| Common StockF1 | Feb 9, 2017 | P | 3,100 | $0.97 | A | 23,100 | I | By Welch Group |
| Common Stock | holding | — | — | — | 15,000 | D | ||
| Common StockF2 | holding | — | — | — | 1,791,415 | I | By LRFA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Reporting Person is General Partner of Welch Group, LP and has voting and dispositive power of the shares of the Issuer's common stock owned by Welch Group, LP.
- F2The Reporting Person is President of LRFA, LLC and has voting and dispositive power of the shares of the Issuer's common stock owned by LRFA, LLC.