0001209191-21-048448.txt : 20210728
0001209191-21-048448.hdr.sgml : 20210728
20210728172444
ACCESSION NUMBER: 0001209191-21-048448
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190426
FILED AS OF DATE: 20210728
DATE AS OF CHANGE: 20210728
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Genexine Inc.
CENTRAL INDEX KEY: 0001834377
STATE OF INCORPORATION: M5
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39683
FILM NUMBER: 211123794
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
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
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2019-04-26
0
0001509261
Rezolute, Inc.
RZLT
0001834377
Genexine Inc.
B-4 700, DAEWANGPANGYO-RO, BUNDANG-GU
SEONGNAM-SI, GYEONGGI-DO
M5
KOREA, REPUBLIC OF
0
0
1
0
Common Stock
2019-04-26
4
C
0
56818175
A
56818175
D
Common Stock
2019-07-23
4
P
0
34482758
0.29
A
91300933
D
Series AA Preferred Stock
0.22
2019-04-26
4
C
0
1250000
10.00
D
Common Stock
56818175
0
D
Reporting Person acquired 1,250,000 shares of Issuer's Series AA Preferred Stock on January 30, 2019. Each share of the Issuer's Series AA Preferred Stock is convertible into shares of the Issuer's Common Stock at a ratio of 45.45454 shares of Common Stock for one share of Series AA Preferred Stock ("Conversion Rate") at the holder's election and has no expiration date. The Series AA Preferred Stock will automatically convert, at the Conversion Rate, into Common Stock (i) at any time upon the vote or consent of the holders of two thirds of the voting power of the then outstanding Series AA Preferred Stock or (ii) the amendment to Issuer's Certificate of Incorporation to increase the number of shares of Common Stock authorized to be issued to at least 500,000,000 shares of Common Stock.
Upon the filing of Issuer's amendment to Certificate of Incorporation on April 26, 2019, which amendment increased the authorized number of shares of Common Stock of the Issuer to 500,000,000, each share of Series AA Preferred Stock automatically converted into shares of the Issuer's Common Stock at the Conversion Rate.
Issuer granted Reporting Person a call option whereby the earlier of, (i) December 31, 2020 and (ii) the date when Issuer asks Reporting Person for further financing, Reporting Person may elect to purchase up to $10,000,000 worth of shares of the Issuer's Common Stock at a purchase price equal to the greater of: (i) $0.29 per share or (ii) 75% of the volume weighted average closing price of the Issuer's Common Stock during the thirty (30) consecutive trading days prior to the date of the notice. Pursuant to a Purchase Agreement for Shares of Common Stock dated July 23, 2019, Reporting Person exercised the full call option to purchase Common Stock.
Such amount now represents 1,826,019 shares of common stock after taking into account the 50:1 reverse stock split effected October 7, 2020.
/s/ Genexine, Inc., by Sung June Hong, CFO
2021-07-28