CYDY

SEC source: 0000899243-19-020923 · doc4.xml · derivative · entry 4

Welch David F · CIK 0001399122 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,000,000

Underlying: Common Stock · 1,000,000 shares

Expires 2023-12-28

F2 · price: On July 31, 2019, the Company completed a Warrant Tender Offer in which LRFA participated, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Dr. Welch, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-19-020923 · doc4.xml · derivative · entry 3

Welch David F · CIK 0001399122 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,000,000 shares

Expires 2023-12-28

F2 · price: On July 31, 2019, the Company completed a Warrant Tender Offer in which LRFA participated, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Dr. Welch, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-19-020923 · doc4.xml · nonDerivative · entry 2

Welch David F · CIK 0001399122 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,502,202

F2 · price: On July 31, 2019, the Company completed a Warrant Tender Offer in which LRFA participated, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Dr. Welch, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-19-020923 · doc4.xml · nonDerivative · entry 1

Welch David F · CIK 0001399122 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,002,202

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-19-017518 · doc4.xml · derivative · entry 1

Welch David F · CIK 0001399122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-06-18

F1 · derivative.exercise_date: The options will vest in four equal quarterly installments, commencing on September 1, 2019.

SEC source: 0000899243-19-017516 · 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 · 100,000 shares

Expires 2029-06-18

F1 · derivative.exercise_date: The options will vest in four equal quarterly installments, commencing on September 1, 2019.

SEC source: 0000899243-19-017515 · doc4.xml · derivative · entry 1

Klump Michael A · CIK 0001748882 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-06-18

F1 · derivative.exercise_date: The options will vest in four equal quarterly installments, commencing on September 1, 2019.

SEC source: 0000899243-19-017510 · doc4.xml · derivative · entry 1

Kelly Scott A. · CIK 0001703394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-06-18

F1 · derivative.exercise_date: The options will vest in four equal quarterly installments, commencing on September 1, 2019.

SEC source: 0000899243-19-017507 · doc4.xml · derivative · entry 1

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-06-18

F1 · derivative.exercise_date: The options will vest in four equal quarterly installments, commencing on September 1, 2019.

SEC source: 0000899243-19-017505 · 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 2029-06-18

F1 · derivative.exercise_date: The options will vest in four equal quarterly installments, commencing on September 1, 2019.

SEC source: 0000899243-19-017503 · doc4.xml · derivative · entry 1

Pourhassan Nader · CIK 0001532878 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-06-18

SEC source: 0000899243-19-017093 · doc4.xml · derivative · entry 21

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 66,667 shares

Expires 2023-01-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: The reported securities are held by Alpha Venture Capital Partners, L.P. ("AVCP"). Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP, except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-19-017093 · doc4.xml · derivative · entry 20

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

F2 · price: On June 12, 2019, the Company completed a Warrant Tender Offer in which AVCP participated, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by AVCP, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

F1 · ownership.nature: The reported securities are held by Alpha Venture Capital Partners, L.P. ("AVCP"). Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP, except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-19-017093 · doc4.xml · derivative · entry 19

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 66,667 shares

Expires 2023-01-31

F2 · price: On June 12, 2019, the Company completed a Warrant Tender Offer in which AVCP participated, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by AVCP, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

F1 · ownership.nature: The reported securities are held by Alpha Venture Capital Partners, L.P. ("AVCP"). Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP, except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-19-017093 · doc4.xml · derivative · entry 18

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 250,000 shares

Expires 2019-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: The reported securities are held by Alpha Venture Capital Partners, L.P. ("AVCP"). Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP, except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-19-017093 · doc4.xml · derivative · entry 17

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2019-12-31

F2 · price: On June 12, 2019, the Company completed a Warrant Tender Offer in which AVCP participated, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by AVCP, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

F1 · ownership.nature: The reported securities are held by Alpha Venture Capital Partners, L.P. ("AVCP"). Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP, except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-19-017093 · doc4.xml · derivative · entry 16

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 250,000 shares

Expires 2019-12-31

F2 · price: On June 12, 2019, the Company completed a Warrant Tender Offer in which AVCP participated, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by AVCP, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

F1 · ownership.nature: The reported securities are held by Alpha Venture Capital Partners, L.P. ("AVCP"). Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP, except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-19-017093 · doc4.xml · derivative · entry 15

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

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: The reported securities are held by Alpha Venture Capital Partners, L.P. ("AVCP"). Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP, except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-19-017093 · doc4.xml · derivative · entry 14

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

F2 · price: On June 12, 2019, the Company completed a Warrant Tender Offer in which AVCP participated, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by AVCP, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

F1 · ownership.nature: The reported securities are held by Alpha Venture Capital Partners, L.P. ("AVCP"). Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP, except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-19-017093 · doc4.xml · derivative · entry 13

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

F2 · price: On June 12, 2019, the Company completed a Warrant Tender Offer in which AVCP participated, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by AVCP, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

F1 · ownership.nature: The reported securities are held by Alpha Venture Capital Partners, L.P. ("AVCP"). Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP, except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-19-017093 · doc4.xml · derivative · entry 12

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,000,000 shares

Expires 2020-06-24

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: The reported securities are held by Alpha Venture Capital Partners, L.P. ("AVCP"). Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP, except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-19-017093 · doc4.xml · derivative · entry 11

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,000,000

Underlying: Common Stock · 1,000,000 shares

Expires 2020-06-24

F2 · price: On June 12, 2019, the Company completed a Warrant Tender Offer in which AVCP participated, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by AVCP, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

F1 · ownership.nature: The reported securities are held by Alpha Venture Capital Partners, L.P. ("AVCP"). Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP, except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-19-017093 · doc4.xml · derivative · entry 10

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,000,000 shares

Expires 2020-06-24

F2 · price: On June 12, 2019, the Company completed a Warrant Tender Offer in which AVCP participated, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by AVCP, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

F1 · ownership.nature: The reported securities are held by Alpha Venture Capital Partners, L.P. ("AVCP"). Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP, except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-19-017093 · doc4.xml · derivative · entry 7

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 75,000 shares

Expires 2020-02-28

F2 · price: On June 12, 2019, the Company completed a Warrant Tender Offer in which AVCP participated, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by AVCP, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

F1 · ownership.nature: The reported securities are held by Alpha Venture Capital Partners, L.P. ("AVCP"). Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP, except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-19-017093 · doc4.xml · nonDerivative · entry 6

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 9,484,825

F2 · price: On June 12, 2019, the Company completed a Warrant Tender Offer in which AVCP participated, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by AVCP, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

F1 · ownership.nature: The reported securities are held by Alpha Venture Capital Partners, L.P. ("AVCP"). Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP, except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-19-017093 · doc4.xml · nonDerivative · entry 5

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 8,772,326

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: The reported securities are held by Alpha Venture Capital Partners, L.P. ("AVCP"). Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP, except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-19-017093 · doc4.xml · nonDerivative · entry 4

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 8,705,659

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: The reported securities are held by Alpha Venture Capital Partners, L.P. ("AVCP"). Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP, except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-19-017093 · doc4.xml · nonDerivative · entry 3

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 8,455,659

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: The reported securities are held by Alpha Venture Capital Partners, L.P. ("AVCP"). Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP, except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-19-017093 · doc4.xml · nonDerivative · entry 2

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 8,422,326

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: The reported securities are held by Alpha Venture Capital Partners, L.P. ("AVCP"). Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP, except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-19-017093 · doc4.xml · nonDerivative · entry 1

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 7,422,326

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: The reported securities are held by Alpha Venture Capital Partners, L.P. ("AVCP"). Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP, except to the extent of his pecuniary interest in such securities.

SEC source: 0000899243-19-017092 · doc4.xml · derivative · entry 8

Kelly Scott A. · CIK 0001703394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2021-05-26

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000899243-19-017092 · doc4.xml · derivative · entry 7

Kelly Scott A. · CIK 0001703394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2021-05-26

F1 · price: On June 12, 2019, the Company completed a Warrant Tender Offer in which Dr. Kelly participated, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Dr. Kelly, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

SEC source: 0000899243-19-017092 · doc4.xml · derivative · entry 6

Kelly Scott A. · CIK 0001703394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2021-05-26

F1 · price: On June 12, 2019, the Company completed a Warrant Tender Offer in which Dr. Kelly participated, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Dr. Kelly, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

SEC source: 0000899243-19-017092 · doc4.xml · nonDerivative · entry 2

Kelly Scott A. · CIK 0001703394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,318,170

F1 · price: On June 12, 2019, the Company completed a Warrant Tender Offer in which Dr. Kelly participated, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Dr. Kelly, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

SEC source: 0000899243-19-017092 · doc4.xml · nonDerivative · entry 1

Kelly Scott A. · CIK 0001703394 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,293,170

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000899243-19-013098 · doc4.xml · derivative · entry 21

Klump Michael A · CIK 0001748882 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 125,000 shares

Expires 2021-04-26

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000899243-19-013098 · doc4.xml · derivative · entry 20

Klump Michael A · CIK 0001748882 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2021-04-26

F2 · price: On May 8, 2019, the Company entered into Warrant Exercise Agreements with Mr. Klump, Argonne Capital and the Klump Children's Gift Trust, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Mr. Klump, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

SEC source: 0000899243-19-013098 · doc4.xml · derivative · entry 19

Klump Michael A · CIK 0001748882 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 125,000 shares

Expires 2021-04-26

F2 · price: On May 8, 2019, the Company entered into Warrant Exercise Agreements with Mr. Klump, Argonne Capital and the Klump Children's Gift Trust, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Mr. Klump, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

SEC source: 0000899243-19-013098 · doc4.xml · derivative · entry 18

Klump Michael A · CIK 0001748882 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Klump Children's Gift Trust

Disclosed balance after: 0

Underlying: Common Stock · 66,667 shares

Expires 2021-12-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000899243-19-013098 · doc4.xml · derivative · entry 17

Klump Michael A · CIK 0001748882 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Klump Children's Gift Trust

Disclosed balance after: 66,667

Underlying: Common Stock · 66,667 shares

Expires 2021-12-12

F2 · price: On May 8, 2019, the Company entered into Warrant Exercise Agreements with Mr. Klump, Argonne Capital and the Klump Children's Gift Trust, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Mr. Klump, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

SEC source: 0000899243-19-013098 · doc4.xml · derivative · entry 16

Klump Michael A · CIK 0001748882 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Klump Children's Gift Trust

Disclosed balance after: 0

Underlying: Common Stock · 66,667 shares

Expires 2021-12-12

F2 · price: On May 8, 2019, the Company entered into Warrant Exercise Agreements with Mr. Klump, Argonne Capital and the Klump Children's Gift Trust, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Mr. Klump, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

SEC source: 0000899243-19-013098 · doc4.xml · derivative · entry 15

Klump Michael A · CIK 0001748882 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 500,000 shares

Expires 2024-01-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by Argonne Trading, LLC, a Georgia limited liability company ("Argonne Trading"). Argonne Capital Group, LLC, a Georgia limited liability company ("Argonne Capital"), is the sole member of Argonne Trading. Michael A. Klump is Manager, President and Chief Executive Officer of Argonne Capital. Mr. Klump disclaims beneficial ownership of the securities held by Argonne Trading, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-19-013098 · doc4.xml · derivative · entry 14

Klump Michael A · CIK 0001748882 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,933,333 shares

Expires 2021-12-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by Argonne Trading, LLC, a Georgia limited liability company ("Argonne Trading"). Argonne Capital Group, LLC, a Georgia limited liability company ("Argonne Capital"), is the sole member of Argonne Trading. Michael A. Klump is Manager, President and Chief Executive Officer of Argonne Capital. Mr. Klump disclaims beneficial ownership of the securities held by Argonne Trading, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-19-013098 · doc4.xml · derivative · entry 13

Klump Michael A · CIK 0001748882 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,933,333

Underlying: Common Stock · 1,933,333 shares

Expires 2021-12-12

F2 · price: On May 8, 2019, the Company entered into Warrant Exercise Agreements with Mr. Klump, Argonne Capital and the Klump Children's Gift Trust, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Mr. Klump, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by Argonne Trading, LLC, a Georgia limited liability company ("Argonne Trading"). Argonne Capital Group, LLC, a Georgia limited liability company ("Argonne Capital"), is the sole member of Argonne Trading. Michael A. Klump is Manager, President and Chief Executive Officer of Argonne Capital. Mr. Klump disclaims beneficial ownership of the securities held by Argonne Trading, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-19-013098 · doc4.xml · derivative · entry 12

Klump Michael A · CIK 0001748882 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,933,333 shares

Expires 2021-12-12

F2 · price: On May 8, 2019, the Company entered into Warrant Exercise Agreements with Mr. Klump, Argonne Capital and the Klump Children's Gift Trust, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Mr. Klump, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by Argonne Trading, LLC, a Georgia limited liability company ("Argonne Trading"). Argonne Capital Group, LLC, a Georgia limited liability company ("Argonne Capital"), is the sole member of Argonne Trading. Michael A. Klump is Manager, President and Chief Executive Officer of Argonne Capital. Mr. Klump disclaims beneficial ownership of the securities held by Argonne Trading, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-19-013098 · doc4.xml · derivative · entry 11

Klump Michael A · CIK 0001748882 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,000,000 shares

Expires 2023-02-16

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by Argonne Trading, LLC, a Georgia limited liability company ("Argonne Trading"). Argonne Capital Group, LLC, a Georgia limited liability company ("Argonne Capital"), is the sole member of Argonne Trading. Michael A. Klump is Manager, President and Chief Executive Officer of Argonne Capital. Mr. Klump disclaims beneficial ownership of the securities held by Argonne Trading, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-19-013098 · doc4.xml · derivative · entry 10

Klump Michael A · CIK 0001748882 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,000,000

Underlying: Common Stock · 1,000,000 shares

Expires 2023-02-16

F2 · price: On May 8, 2019, the Company entered into Warrant Exercise Agreements with Mr. Klump, Argonne Capital and the Klump Children's Gift Trust, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Mr. Klump, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by Argonne Trading, LLC, a Georgia limited liability company ("Argonne Trading"). Argonne Capital Group, LLC, a Georgia limited liability company ("Argonne Capital"), is the sole member of Argonne Trading. Michael A. Klump is Manager, President and Chief Executive Officer of Argonne Capital. Mr. Klump disclaims beneficial ownership of the securities held by Argonne Trading, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-19-013098 · doc4.xml · derivative · entry 9

Klump Michael A · CIK 0001748882 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,000,000 shares

Expires 2023-02-16

F2 · price: On May 8, 2019, the Company entered into Warrant Exercise Agreements with Mr. Klump, Argonne Capital and the Klump Children's Gift Trust, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Mr. Klump, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by Argonne Trading, LLC, a Georgia limited liability company ("Argonne Trading"). Argonne Capital Group, LLC, a Georgia limited liability company ("Argonne Capital"), is the sole member of Argonne Trading. Michael A. Klump is Manager, President and Chief Executive Officer of Argonne Capital. Mr. Klump disclaims beneficial ownership of the securities held by Argonne Trading, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-19-013098 · doc4.xml · nonDerivative · entry 8

Klump Michael A · CIK 0001748882 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,500

F2 · price: On May 8, 2019, the Company entered into Warrant Exercise Agreements with Mr. Klump, Argonne Capital and the Klump Children's Gift Trust, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Mr. Klump, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

SEC source: 0000899243-19-013098 · doc4.xml · nonDerivative · entry 7

Klump Michael A · CIK 0001748882 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Klump Children's Gift Trust

Disclosed balance after: 100,000

F2 · price: On May 8, 2019, the Company entered into Warrant Exercise Agreements with Mr. Klump, Argonne Capital and the Klump Children's Gift Trust, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Mr. Klump, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.