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