SEC Form 3 · accession 0001209191-18-026874
Rezolute, Inc. · RZLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
XOMA Corp
10% Owner
Period of report
Apr 23, 2018
Accepted (ET)
Apr 30, 2018 · 4:54 pm EDT
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 | holding | — | — | — | 8,093,010 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares have been issued pursuant to a Common Stock Purchase Agreement between XOMA Corporation and Rezolute, Inc. (formerly known as AntriaBio, Inc.), dated December 6, 2017, as amended on March 30, 2018.