Filing Details

Accession Number:
0001567619-20-013287
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-07-14 21:56:56
Reporting Period:
2020-07-06
Accepted Time:
2020-07-14 21:56:56
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1509261 Rezolute Inc. RZLT Pharmaceutical Preparations (2834) 273440894
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1798101 Handok, Inc. 132, Teheran-Ro
Gangman Gu
Seoul M4 06235
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Shares Acquisiton 2020-07-06 300,000 $0.10 91,600,933 No 4 P Direct
Common Shares Acquisiton 2020-07-07 45,100 $0.11 91,646,033 No 4 P Direct
Common Shares Acquisiton 2020-07-08 45,200 $0.12 91,691,233 No 4 P Direct
Common Shares Acquisiton 2020-07-09 133,804 $0.13 91,825,037 No 4 P Direct
Common Shares Acquisiton 2020-07-10 18,550 $0.13 91,843,587 No 4 P Direct
Common Shares Acquisiton 2020-07-13 100,000 $0.15 91,943,587 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Direct
Footnotes
  1. The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020.
  2. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.10 to $0.105, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2).
  3. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.10 to $0.109, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (3).
  4. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.12 to $0.121, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (4).
  5. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.125 to $0.130, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (5).
  6. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.143 to $0.155, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (6).