SEC Form 4 · accession 0001144204-17-002464
Rezolute, Inc. · RZLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David F Welch
Director
Period of report
Oct 31, 2016
Accepted (ET)
Jan 17, 2017 · 5:02 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 | Jan 10, 2017 | P | 5,000 | $0.9141 | A | 5,000 | D | |
| Common Stock | Jan 11, 2017 | P | 5,000 | $0.9385 | A | 10,000 | D | |
| Common StockF1 | holding | — | — | — | 1,766,432 | I | By LRFA, LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $1.20 | Oct 31, 2016 | A | 750,000 | A | — | Oct 31, 2026 | Common Stock | 750,000 | 750,000 | D |
Explanation of responses
- F1The 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.
- F2The option vests in forty-eight equal installments beginning on the date so indicated and every month thereafter, such grant vested in full at 4 years.