0000898432-23-000231.txt : 20230503 0000898432-23-000231.hdr.sgml : 20230503 20230503085613 ACCESSION NUMBER: 0000898432-23-000231 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20230503 DATE AS OF CHANGE: 20230503 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Rezolute, Inc. CENTRAL INDEX KEY: 0001509261 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 273440894 STATE OF INCORPORATION: NV FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-86686 FILM NUMBER: 23881900 BUSINESS ADDRESS: STREET 1: 275 SHORELINE DRIVE, SUITE 500 CITY: REDWOOD CITY STATE: CA ZIP: 94065 BUSINESS PHONE: 650-206-4507 MAIL ADDRESS: STREET 1: 275 SHORELINE DRIVE, SUITE 500 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Genexine Inc. CENTRAL INDEX KEY: 0001834377 IRS NUMBER: 000000000 STATE OF INCORPORATION: M5 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 700 DAEWANGPANGYO-RO, KOREA PARKBLDG. B STREET 2: BUNDANG-GU, SEONGNAM-SI CITY: GYEONGGI-DO STATE: M5 ZIP: 13488 BUSINESS PHONE: 82-31-628-3200 MAIL ADDRESS: STREET 1: 700 DAEWANGPANGYO-RO, KOREA PARKBLDG. B STREET 2: BUNDANG-GU, SEONGNAM-SI CITY: GYEONGGI-DO STATE: M5 ZIP: 13488 SC 13D/A 1 sc13da.htm




SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13D/A
Under the Securities Exchange Act of 1934
(Amendment No. 1)
Rezolute, Inc.
(Name of Issuer)
Common Stock, $0.001 par value
(Title of Class of Securities)
037230208
(CUSIP Number)
Genexine, Inc., 172,
Magokjungang-ro
Gangseo-gu, Seoul,
Republic of Korea
+ 82 26 098 2776
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
September 15, 2022
(Date of Event Which Requires Filing of This Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box ☐.
Note. Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See § 240.13d-7 for other parties to whom copies are to be sent.


CUSIP No. 037230208
  
               
 
1.
  
Names of Reporting Persons.
Genexine, Inc.
 
2.
  
Check the Appropriate Box if a Member of a Group (See Instructions).
(a) ☐ (b) ☒
 
3.
  
SEC Use Only
 
4.
  
Source of Funds (See Instructions)
WC
 
5.
  
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐
 
6.
  
Citizenship or Place of Organization
Republic of Korea
 
Number of Shares Beneficially Owned by Each Reporting Person With
  
7.
  
Sole Voting Power
1,826,019 Shares of Common Stock
   
8.
  
Shared Voting Power
0 Shares of Common Stock
   
9.
  
Sole Dispositive Power
1,826,019 Shares of Common Stock
   
10.
  
Shared Dispositive Power
0 Shares of Common Stock
 
11.
  
Aggregate Amount Beneficially Owned by Each Reporting Person
1,826,019 Shares of Common Stock
 
12.
  
Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐
 
13.
  
Percent of Class Represented by Amount in Row (11)
4.96%*
 
14.
  
Type of Reporting Person (See Instructions)
CO

*
Percentage is calculated based on 36,827,567 shares of Common Stock outstanding as of April 6, 2023, as reported in the Issuer’s Definitive Proxy Statement on Schedule 14A filed with the Securities and Exchange Commission (the “SEC”) on April 12, 2023.


AMENDMENT NO. 1 TO SCHEDULE 13D
This Amendment No. 1 to the Schedule 13D (“Amendment No. 1”) is being filed by Genexine, Inc. (the “Reporting Person”). The Schedule 13D (the “Schedule 13D”) filed by the Reporting Person on July 28, 2021 is hereby amended and supplemented by the Reporting Person as set forth below in this Amendment No. 1. Except as set forth in this Amendment No. 1, all Items in the Schedule 13D are unchanged.

Item 5. Interest in Securities of the Issuer.

Items 5(a) and 5(e) are hereby amended and restated to read as follows:
(a) The aggregate number and percentage of shares of the Issuer’s common stock to which this Schedule 13D relates is 1,826,019 shares of Common Stock (the “Shares”), constituting 4.96% of the Issuer’s outstanding common stock as of April 6, 2023.
 (e) As of September 8, 2022, based on the Issuer’s Annual Report on Form 10-K filed on September 15, 2022, the Reporting Person ceased to beneficially own more than 5% of the outstanding shares of Common Stock of the Issuer.






SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Date: May 3, 2023
 
 
 
Genexine, Inc.
   
  By:
 /s/ Sung June Hong                                      
    Name:
 Sung June Hong
    Title:
 CFO