0001567619-21-016495.txt : 20210831
0001567619-21-016495.hdr.sgml : 20210831
20210831140229
ACCESSION NUMBER: 0001567619-21-016495
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210614
FILED AS OF DATE: 20210831
DATE AS OF CHANGE: 20210831
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Elam Nevan C
CENTRAL INDEX KEY: 0001314773
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39683
FILM NUMBER: 211226466
MAIL ADDRESS:
STREET 1: C/O NEKTAR THERAPEUTICS
STREET 2: 150 INDUSTRIAL ROAD
CITY: SAN CARLOS
STATE: CA
ZIP: 94070
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Rezolute, Inc.
CENTRAL INDEX KEY: 0001509261
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 273440894
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0630
BUSINESS ADDRESS:
STREET 1: 201 REDWOOD SHORES PARKWAY, SUITE 315
CITY: REDWOOD CITY
STATE: CA
ZIP: 94065
BUSINESS PHONE: 650-847-1919
MAIL ADDRESS:
STREET 1: 201 REDWOOD SHORES PARKWAY, SUITE 315
CITY: REDWOOD CITY
STATE: CA
ZIP: 94065
FORMER COMPANY:
FORMER CONFORMED NAME: AntriaBio, Inc.
DATE OF NAME CHANGE: 20130114
FORMER COMPANY:
FORMER CONFORMED NAME: FITS MY STYLE INC
DATE OF NAME CHANGE: 20110104
4/A
1
doc1.xml
FORM 4/A
X0306
4/A
2021-06-14
2021-07-14
0
0001509261
Rezolute, Inc.
RZLT
0001314773
Elam Nevan C
C/O REZOLUTE, INC.
201 REDWOOD SHORES PARKWAY, SUITE 315
REDWOOD CITY
CA
94065
1
1
0
0
Chief Executive Officer
Stock Option (right to buy)
103.00
2021-06-14
4
D
0
34800
0
D
2015-02-23
2025-02-23
Common Stock
34800
0
D
Stock Option (right to buy)
60.00
2021-06-14
4
D
0
70000
0
D
2016-12-28
2026-12-28
Common Stock
70000
0
D
Stock Option (right to buy)
12.28
2021-06-14
4
A
0
375000
0
A
2031-06-14
Common Stock
675000
675000
D
Stock Option (right to buy)
14.50
2021-06-14
4
D
0
100000
0
D
2029-07-31
Common Stock
100000
575000
D
This Option shall vest and become exercisable as follows: one thirty-sixth (1/36) of such Options shall vest on the first date of the month following the Grant Date and each month thereafter on the first date of each month until the Option is 100% vested. The unvested portion of the option will not be exercisable on or after the Reporting Person's termination of Continuous Service subject to the terms of the Reporting Person's employment agreement.
The disposed of options only vest equally over a 36-month period following certain performance and market price criteria, which had not been met through date of disposition.
The number of derivative securities beneficially owned is based on post-split stock numbers.
/s/ Nevan C. Elam
2021-08-31