CYDY

SEC source: 0000899243-18-004434 · doc4.xml · derivative · entry 2

Gould Gregory A · CIK 0001252905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2023-06-01

SEC source: 0000899243-18-004434 · doc4.xml · derivative · entry 1

Gould Gregory A · CIK 0001252905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2018-06-01

F1 · derivative.exercise_date: Such options were fully vested and exercisable as of the date of the reported transactions.

SEC source: 0000899243-18-004433 · doc4.xml · derivative · entry 2

Caracciolo Anthony · CIK 0001258929 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2023-06-01

SEC source: 0000899243-18-004433 · doc4.xml · derivative · entry 1

Caracciolo Anthony · CIK 0001258929 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2018-06-01

F1 · derivative.exercise_date: Such options were fully vested and exercisable as of the date of the reported transactions.

SEC source: 0000899243-18-004432 · doc4.xml · derivative · entry 2

Mulholland Michael D. · CIK 0001257911 · CFO, Treasurer and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2023-05-31

SEC source: 0000899243-18-004432 · doc4.xml · derivative · entry 1

Mulholland Michael D. · CIK 0001257911 · CFO, Treasurer and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 300,000 shares

Expires 2018-05-31

F1 · derivative.exercise_date: Such options were fully vested and exercisable as of the date of the reported transactions.

SEC source: 0000899243-18-003451 · doc4.xml · derivative · entry 1

Caracciolo Anthony · CIK 0001258929 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,530

Underlying: Common Stock · 128,530 shares

Expires 2028-02-07

F1 · price: On February 7, 2018, the board of directors of CytoDyn Inc. approved an amendment to its director compensation program, providing for payment in stock options, in lieu of cash, of all unpaid director retainer fees for the four-quarter period ending February 28, 2018. The number of options awarded to each director was determined by applying a price of $0.31 per option, which was the fair value estimate of the option award as of the grant date, using the Black-Scholes option pricing model.

SEC source: 0000899243-18-003464 · doc4.xml · derivative · entry 1

Kelly Scott A. · CIK 0001703394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,009

Underlying: Common Stock · 97,009 shares

Expires 2028-02-07

F1 · price: On February 7, 2018, the board of directors of CytoDyn Inc. approved an amendment to its director compensation program, providing for payment in stock options, in lieu of cash, of all unpaid director retainer fees for the four-quarter period ending February 28, 2018. The number of options awarded to each director was determined by applying a price of $0.31 per option, which was the fair value estimate of the option award as of the grant date, using the Black-Scholes option pricing model.

SEC source: 0000899243-18-003463 · doc4.xml · derivative · entry 1

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,563

Underlying: Common Stock · 136,563 shares

Expires 2028-02-07

F1 · price: On February 7, 2018, the board of directors of CytoDyn Inc. approved an amendment to its director compensation program, providing for payment in stock options, in lieu of cash, of all unpaid director retainer fees for the four-quarter period ending February 28, 2018. The number of options awarded to each director was determined by applying a price of $0.31 per option, which was the fair value estimate of the option award as of the grant date, using the Black-Scholes option pricing model.

SEC source: 0000899243-18-003462 · doc4.xml · derivative · entry 1

Gould Gregory A · CIK 0001252905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,662

Underlying: Common Stock · 160,662 shares

Expires 2028-02-07

F1 · price: On February 7, 2018, the board of directors of CytoDyn Inc. approved an amendment to its director compensation program, providing for payment in stock options, in lieu of cash, of all unpaid director retainer fees for the four-quarter period ending February 28, 2018. The number of options awarded to each director was determined by applying a price of $0.31 per option, which was the fair value estimate of the option award as of the grant date, using the Black-Scholes option pricing model.

SEC source: 0000899243-18-003459 · doc4.xml · derivative · entry 1

Montgomery Alan Bruce · CIK 0001313936 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,563

Underlying: Common Stock · 136,563 shares

Expires 2028-02-07

F1 · price: On February 7, 2018, the board of directors of CytoDyn Inc. approved an amendment to its director compensation program, providing for payment in stock options, in lieu of cash, of all unpaid director retainer fees for the four-quarter period ending February 28, 2018. The number of options awarded to each director was determined by applying a price of $0.31 per option, which was the fair value estimate of the option award as of the grant date, using the Black-Scholes option pricing model

SEC source: 0000899243-18-003457 · doc4.xml · derivative · entry 1

Naydenov Jordan G · CIK 0001469618 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,397

Underlying: Common Stock · 96,397 shares

Expires 2028-02-07

F1 · price: On February 7, 2018, the board of directors of CytoDyn Inc. approved an amendment to its director compensation program, providing for payment in stock options, in lieu of cash, of all unpaid director retainer fees for the four-quarter period ending February 28, 2018. The number of options awarded to each director was determined by applying a price of $0.31 per option, which was the fair value estimate of the option award as of the grant date, using the Black-Scholes option pricing model.

SEC source: 0000899243-18-003452 · doc4.xml · derivative · entry 1

BURGER DENIS R · CIK 0001239414 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,331

Underlying: Common Stock · 80,331 shares

Expires 2028-02-07

F1 · price: On February 7, 2018, the board of directors of CytoDyn Inc. approved an amendment to its director compensation program, providing for payment in stock options, in lieu of cash, of all unpaid director retainer fees for the four-quarter period ending February 28, 2018. The number of options awarded to each director was determined by applying a price of $0.31 per option, which was the fair value estimate of the option award as of the grant date, using the Black-Scholes option pricing model.

SEC source: 0000899243-18-002769 · doc4.xml · derivative · entry 2

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 66,667

Underlying: Common Stock · 66,667 shares

Expires 2023-01-31

F1 · price: The reported securities were purchased together, as part of a registered direct offering, at a combined price of $0.50 per share of common stock and related warrants.

F2 · ownership.nature: The reporting person is the sole member of Alpha Advisors, LLC, the investment advisor for Alpha Venture Capital Partners, LP, and the managing member of Alpha Venture Capital Management, LLC, the general partner of Alpha Venture Capital Partners, LP. The reporting person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-18-002769 · doc4.xml · nonDerivative · entry 1

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 7,578,095

F1 · price: The reported securities were purchased together, as part of a registered direct offering, at a combined price of $0.50 per share of common stock and related warrants.

F2 · ownership.nature: The reporting person is the sole member of Alpha Advisors, LLC, the investment advisor for Alpha Venture Capital Partners, LP, and the managing member of Alpha Venture Capital Management, LLC, the general partner of Alpha Venture Capital Partners, LP. The reporting person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-18-002768 · doc4.xml · derivative · entry 2

Naydenov Jordan G · CIK 0001469618 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,334

Underlying: Common Stock · 133,334 shares

Expires 2023-01-31

F1 · price: The reported securities were purchased together, as part of a registered direct offering, at a combined price of $0.50 per share of common stock and related warrants.

SEC source: 0000899243-18-002768 · doc4.xml · nonDerivative · entry 1

Naydenov Jordan G · CIK 0001469618 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,304,490

F1 · price: The reported securities were purchased together, as part of a registered direct offering, at a combined price of $0.50 per share of common stock and related warrants.

SEC source: 0000899243-18-002767 · doc4.xml · derivative · entry 5

Caracciolo Anthony · CIK 0001258929 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Caracciolo Family Trust

Disclosed balance after: 1,333,334

Underlying: Common Stock · 1,333,334 shares

Expires 2023-01-31

F1 · price: The reported securities were purchased together, as part of a registered direct offering, at a combined price of $0.50 per share of common stock and related warrants.

SEC source: 0000899243-18-002767 · doc4.xml · nonDerivative · entry 1

Caracciolo Anthony · CIK 0001258929 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Caracciolo Family Trust

Disclosed balance after: 2,093,972

F1 · price: The reported securities were purchased together, as part of a registered direct offering, at a combined price of $0.50 per share of common stock and related warrants.

SEC source: 0000899243-18-024032 · doc4.xml · derivative · entry 2

Caracciolo Anthony · CIK 0001258929 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Caracciolo Family Trust

Disclosed balance after: 666,666

Underlying: Common Stock · 666,666 shares

Expires 2022-05-31

F1 · price: The two transactions reported in Table II above involved the amendment of an outstanding warrant to reduce the exercise price from $1 per share to $0.75 per share. The amendment is reported above as the cancellation of the "old" warrant and the acquisition of a new one.

SEC source: 0000899243-18-024032 · doc4.xml · derivative · entry 1

Caracciolo Anthony · CIK 0001258929 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Caracciolo Family Trust

Disclosed balance after: 0

Underlying: Common Stock · 666,666 shares

Expires 2022-05-31

F1 · price: The two transactions reported in Table II above involved the amendment of an outstanding warrant to reduce the exercise price from $1 per share to $0.75 per share. The amendment is reported above as the cancellation of the "old" warrant and the acquisition of a new one.

SEC source: 0000899243-18-024031 · doc4.xml · derivative · entry 2

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 33,333

Underlying: Common Stock · 33,333 shares

Expires 2022-07-28

F1 · price: The two transactions reported in Table II above involved the amendment of an outstanding warrant to reduce the exercise price from $1 per share to $0.75 per share. The amendment is reported above as the cancellation of the "old" warrant and the acquisition of a new one.

F2 · ownership.nature: The reporting person is the sole member of Alpha Advisors, LLC, the investment advisor for Alpha Venture Capital Partners, LP ("AVCP"), and the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. The reporting person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-18-024031 · doc4.xml · derivative · entry 1

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 33,333 shares

Expires 2022-07-28

F1 · price: The two transactions reported in Table II above involved the amendment of an outstanding warrant to reduce the exercise price from $1 per share to $0.75 per share. The amendment is reported above as the cancellation of the "old" warrant and the acquisition of a new one.

F2 · ownership.nature: The reporting person is the sole member of Alpha Advisors, LLC, the investment advisor for Alpha Venture Capital Partners, LP ("AVCP"), and the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. The reporting person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-18-024028 · doc4.xml · derivative · entry 2

Naydenov Jordan G · CIK 0001469618 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,666

Underlying: Common Stock · 66,666 shares

Expires 2022-07-26

F1 · price: The two transactions reported in Table II above involved the amendment of an outstanding warrant to reduce the exercise price from $1 per share to $0.75 per share. The amendment is reported above as the cancellation of the "old" warrant and the acquisition of a new one.

SEC source: 0000899243-18-024028 · doc4.xml · derivative · entry 1

Naydenov Jordan G · CIK 0001469618 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 66,666 shares

Expires 2022-07-26

F1 · price: The two transactions reported in Table II above involved the amendment of an outstanding warrant to reduce the exercise price from $1 per share to $0.75 per share. The amendment is reported above as the cancellation of the "old" warrant and the acquisition of a new one.

SEC source: 0000899243-17-025602 · doc4.xml · derivative · entry 4

Caracciolo Anthony · CIK 0001258929 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By limited liability company

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2022-11-08

F1 · price: The reported securities were purchased together, as part of a private offering to accredited investors, at a combined price of $0.50 per share of common stock and a warrant covering 100% of the number of shares of common stock purchased.

F2 · balance_after: The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

SEC source: 0000899243-17-025602 · doc4.xml · nonDerivative · entry 1

Caracciolo Anthony · CIK 0001258929 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By limited liability company

Disclosed balance after: 200,000

F1 · price: The reported securities were purchased together, as part of a private offering to accredited investors, at a combined price of $0.50 per share of common stock and a warrant covering 100% of the number of shares of common stock purchased.

F2 · balance_after: The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

SEC source: 0000899243-17-019349 · doc4.xml · derivative · entry 2

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 33,333

Underlying: Common Stock · 33,333 shares

Expires 2022-07-28

F1 · derivative.exercise_price: Subject to adjustment in the event of certain stock split or reverse stock split recapitalizations.

F3 · price: As part of a private offering to accredited investors, Alpha Venture Capital Partners, LP ("AVCP") purchased from the issuer for a combined price of $50,000 (i) a $50,000 convertible promissory note, bearing interest at 7.0% annually, which is convertible into shares of the issuer's common stock at an initial conversion price of $0.75 per share, and (ii) a warrant covering 50% of the number of shares underlying the convertible promissory note, at an exercise price of $1.00 per share.

F4 · ownership.nature: The reporting person is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP, and the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. The reporting person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-17-019349 · doc4.xml · derivative · entry 1

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 50,000

Underlying: Common Stock · 66,666 shares

Expires 2018-01-31

F1 · derivative.exercise_price: Subject to adjustment in the event of certain stock split or reverse stock split recapitalizations.

F3 · price: As part of a private offering to accredited investors, Alpha Venture Capital Partners, LP ("AVCP") purchased from the issuer for a combined price of $50,000 (i) a $50,000 convertible promissory note, bearing interest at 7.0% annually, which is convertible into shares of the issuer's common stock at an initial conversion price of $0.75 per share, and (ii) a warrant covering 50% of the number of shares underlying the convertible promissory note, at an exercise price of $1.00 per share.

F2 · derivative.underlying_shares: Does not include additional shares issuable upon conversion of accrued interest.

F4 · ownership.nature: The reporting person is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP, and the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. The reporting person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-17-019283 · doc4.xml · derivative · entry 2

Naydenov Jordan G · CIK 0001469618 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,666

Underlying: Common Stock · 66,666 shares

Expires 2022-07-26

F1 · derivative.exercise_price: Subject to adjustment in the event of certain stock split or reverse stock split recapitalizations.

F3 · price: As part of a private offering to accredited investors, the reporting person purchased from the issuer for a combined price of $100 thousand (i) a $100 thousand convertible promissory note, bearing interest at 7.0% annually, which is convertible into shares of the issuer's common stock at an initial conversion price of $0.75 per share, and (ii) a warrant covering 50% of the number of shares underlying the convertible promissory note, at an exercise price of $1.00 per share.

SEC source: 0000899243-17-019283 · doc4.xml · derivative · entry 1

Naydenov Jordan G · CIK 0001469618 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 133,333 shares

Expires 2018-01-31

F1 · derivative.exercise_price: Subject to adjustment in the event of certain stock split or reverse stock split recapitalizations.

F3 · price: As part of a private offering to accredited investors, the reporting person purchased from the issuer for a combined price of $100 thousand (i) a $100 thousand convertible promissory note, bearing interest at 7.0% annually, which is convertible into shares of the issuer's common stock at an initial conversion price of $0.75 per share, and (ii) a warrant covering 50% of the number of shares underlying the convertible promissory note, at an exercise price of $1.00 per share.

F2 · derivative.underlying_shares: Does not include additional shares issuable upon conversion of accrued interest.

SEC source: 0000899243-17-016914 · doc4.xml · derivative · entry 2

Caracciolo Anthony · CIK 0001258929 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Caracciolo Family Trust

Disclosed balance after: 333,333

Underlying: Common Stock · 333,333 shares

Expires 2022-05-31

F2 · price: As part of a private offering to accredited investors, on May 31, 2017, the reporting person purchased from the issuer for a combined price of $1.0 million (i) a $1.0 million convertible promissory note, bearing interest at 7.0% annually, which is convertible into shares of the issuer's common stock at an initial conversion price of $0.75 per share, and (ii) a warrant covering 25% of the number of shares underlying the convertible promissory note, with an exercise price of $1.35 per share. Effective June 19, 2017, the issuer amended the terms of the offering to increase the warrant coverage from 25% to 50% and to decrease the warrant exercise price from $1.35 to $1.00. As reflected in this Form 4, the issuer applied such amended terms retroactively to all warrants previously purchased in the offering.

SEC source: 0000899243-17-016914 · doc4.xml · derivative · entry 1

Caracciolo Anthony · CIK 0001258929 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Caracciolo Family Trust

Disclosed balance after: 666,666

Underlying: Common Stock · 666,666 shares

Expires 2022-05-31

F1 · derivative.exercise_price: Subject to adjustment in the event of certain stock split or reverse stock split recapitalizations.

F2 · price: As part of a private offering to accredited investors, on May 31, 2017, the reporting person purchased from the issuer for a combined price of $1.0 million (i) a $1.0 million convertible promissory note, bearing interest at 7.0% annually, which is convertible into shares of the issuer's common stock at an initial conversion price of $0.75 per share, and (ii) a warrant covering 25% of the number of shares underlying the convertible promissory note, with an exercise price of $1.35 per share. Effective June 19, 2017, the issuer amended the terms of the offering to increase the warrant coverage from 25% to 50% and to decrease the warrant exercise price from $1.35 to $1.00. As reflected in this Form 4, the issuer applied such amended terms retroactively to all warrants previously purchased in the offering.

SEC source: 0000899243-18-029164 · doc4a.xml · derivative · entry 1

Caracciolo Anthony · CIK 0001258929 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Caracciolo Family Trust

Disclosed balance after: 0

Underlying: Common Stock · 333,333 shares

Expires 2022-05-31

F1 · shares: This report is being filed to correct certain inadvertent errors, to report (i) the warrant issued May 31, 2017 as disposed of (and not acquired) in the transaction, in Column 5, and (ii) the number of such derivative securities beneficially owned following the transaction as zero (and not 333,333), in Column 9.

F2 · price: As part of a private offering to accredited investors, on May 31, 2017, the reporting person purchased from the issuer for a combined price of $1.0 million (i) a $1.0 million convertible promissory note, bearing interest at 7.0% annually, which is convertible into shares of the issuer's common stock at an initial conversion price of $0.75 per share, and (ii) a warrant covering 25% of the number of shares underlying the convertible promissory note, with an exercise price of $1.35 per share. Effective June 19, 2017, the issuer amended the terms of the offering to increase the warrant coverage from 25% to 50% and to decrease the warrant exercise price from $1.35 to $1.00.

F1 · balance_after: This report is being filed to correct certain inadvertent errors, to report (i) the warrant issued May 31, 2017 as disposed of (and not acquired) in the transaction, in Column 5, and (ii) the number of such derivative securities beneficially owned following the transaction as zero (and not 333,333), in Column 9.

SEC source: 0000899243-17-015355 · doc4.xml · derivative · entry 1

Kelly Scott A. · CIK 0001703394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2027-06-01

F1 · derivative.exercise_date: Subject to stockholder approval, at the next annual meeting, of the increase in the number of shares of common stock authorized for issuance under the CytoDyn Inc. 2012 Equity Incentive Plan, as amended, the options will vest in four equal quarterly installments commencing on September 1, 2017.

SEC source: 0000899243-17-015359 · doc4.xml · derivative · entry 1

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2027-06-01

F1 · derivative.exercise_date: Subject to stockholder approval, at the next annual meeting, of the increase in the number of shares of common stock authorized for issuance under the CytoDyn Inc. 2012 Equity Incentive Plan, as amended, the options will vest in four equal quarterly installments commencing on September 1, 2017.

SEC source: 0000899243-17-015354 · doc4.xml · derivative · entry 1

Naydenov Jordan G · CIK 0001469618 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2027-06-01

F1 · derivative.exercise_date: Subject to stockholder approval, at the next annual meeting, of the increase in the number of shares of common stock authorized for issuance under the CytoDyn Inc. 2012 Equity Incentive Plan, as amended, the options will vest in four equal quarterly installments commencing on September 1, 2017.

SEC source: 0000899243-17-015353 · doc4.xml · derivative · entry 1

Mulholland Michael D. · CIK 0001257911 · CFO, Treasurer and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2027-06-01

F1 · derivative.exercise_date: Subject to stockholder approval, at the next annual meeting, of the increase in the number of shares of common stock authorized for issuance under the CytoDyn Inc. 2012 Equity Incentive Plan, as amended, the options will vest in three equal annual installments commencing on June 1, 2018.

SEC source: 0000899243-17-015352 · doc4.xml · derivative · entry 1

Montgomery Alan Bruce · CIK 0001313936 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2027-06-01

F1 · derivative.exercise_date: Subject to stockholder approval, at the next annual meeting, of the increase in the number of shares of common stock authorized for issuance under the CytoDyn Inc. 2012 Equity Incentive Plan, as amended, the options will vest in four equal quarterly installments commencing on September 1, 2017.

SEC source: 0000899243-17-015351 · doc4.xml · derivative · entry 2

BURGER DENIS R · CIK 0001239414 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Common Stock · 600,000 shares

Expires 2027-06-01

F2 · derivative.exercise_date: Subject to stockholder approval, at the next annual meeting, of the increase in the number of shares of common stock authorized for issuance under the CytoDyn Inc. 2012 Equity Incentive Plan, as amended, one third of the options will vest on each date that is six months, 18 months and 30 months following the grant date.

SEC source: 0000899243-17-015351 · doc4.xml · derivative · entry 1

BURGER DENIS R · CIK 0001239414 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2027-06-01

F1 · derivative.exercise_date: Subject to stockholder approval, at the next annual meeting, of the increase in the number of shares of common stock authorized for issuance under the CytoDyn Inc. 2012 Equity Incentive Plan, as amended, the options will vest in four equal quarterly installments commencing on September 1, 2017.

SEC source: 0000899243-17-015349 · doc4.xml · derivative · entry 1

Gould Gregory A · CIK 0001252905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2027-06-01

F1 · derivative.exercise_date: Subject to stockholder approval, at the next annual meeting, of the increase in the number of shares of common stock authorized for issuance under the CytoDyn Inc. 2012 Equity Incentive Plan, as amended, the options will vest in four equal quarterly installments commencing on September 1, 2017.

SEC source: 0000899243-17-015331 · doc4.xml · derivative · entry 1

Pourhassan Nader · CIK 0001532878 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2027-06-01

F1 · derivative.exercise_date: Subject to stockholder approval, at the next annual meeting, of the increase in the number of shares of common stock authorized for issuance under the CytoDyn Inc. 2012 Equity Incentive Plan, as amended, the options will vest in three equal annual installments commencing on June 1, 2018.

SEC source: 0000899243-17-015190 · doc4.xml · derivative · entry 2

Caracciolo Anthony · CIK 0001258929 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Caracciolo Family Trust

Disclosed balance after: 333,333

Underlying: Common Stock · 333,333 shares

Expires 2022-05-31

F1 · derivative.exercise_price: Subject to adjustment in the event of certain stock split or reverse stock split recapitalizations.

F3 · price: As part of a private offering to accredited investors, the reporting person purchased from the issuer for a combined price of $1.0 million (i) a $1.0 million convertible promissory note, bearing interest at 7.0% annually, which is convertible into shares of the issuer's common stock at an initial conversion price of $0.75 per share, and (ii) a warrant covering 25% of the number of shares underlying the convertible promissory note.

SEC source: 0000899243-17-015190 · doc4.xml · derivative · entry 1

Caracciolo Anthony · CIK 0001258929 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Caracciolo Family Trust

Disclosed balance after: Not disclosed

Underlying: Common Stock · 1,333,333 shares

Expires 2018-01-31

F1 · derivative.exercise_price: Subject to adjustment in the event of certain stock split or reverse stock split recapitalizations.

F3 · price: As part of a private offering to accredited investors, the reporting person purchased from the issuer for a combined price of $1.0 million (i) a $1.0 million convertible promissory note, bearing interest at 7.0% annually, which is convertible into shares of the issuer's common stock at an initial conversion price of $0.75 per share, and (ii) a warrant covering 25% of the number of shares underlying the convertible promissory note.

F2 · derivative.underlying_shares: Does not include additional shares issuable upon conversion of accrued interest.

SEC source: 0000899243-17-010064 · doc4.xml · derivative · entry 1

Kelly Scott A. · CIK 0001703394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,123

Underlying: Common Stock · 7,123 shares

Expires 2027-04-10

F1 · derivative.exercise_date: Subject to stockholder approval of the increase in the number of shares of common stock authorized for issuance under the CytoDyn Inc. 2012 Equity Incentive Plan, as amended, at the next annual meeting.

SEC source: 0000899243-17-003796 · doc4.xml · derivative · entry 2

Caracciolo Anthony · CIK 0001258929 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 550,000

Underlying: Common Stock · 550,000 shares

Expires 2027-02-12

F2 · derivative.exercise_date: The options will vest in equal monthly installments over the next two years, commencing on the first month following the grant date.

SEC source: 0000899243-17-003796 · doc4.xml · derivative · entry 1

Caracciolo Anthony · CIK 0001258929 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 450,000

Underlying: Common Stock · 450,000 shares

Expires 2027-02-12

F1 · derivative.exercise_date: Subject to stockholder approval of the increase in the number of shares authorized for issuance under the CytoDyn Inc. 2012 Equity Incentive Plan, as amended, at the next annual meeting, the options will vest upon the achievement of certain strategic milestones specified in the award agreement.

SEC source: 0000899243-16-034017 · doc4.xml · derivative · entry 1

Gould Gregory A · CIK 0001252905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2026-11-17

F1 · derivative.exercise_date: The option vests 25% on the date of grant and the remaining 75% in equal monthly installments over the next year.

SEC source: 0000899243-16-032158 · doc4.xml · nonDerivative · entry 1

Pourhassan Nader · CIK 0001532878 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 15,750

F1 · price: The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $0.645 to $0.665, inclusive. The reporting person undertakes to provide to CytoDyn Inc., any security holder of CytoDyn Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth herein.