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