Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CytoDyn Inc.CYDY · Entity 5856 | Director | October 08, 2019 | January 09, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
CytoDyn Inc.
Report date October 08, 2019 · Filed January 09, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Convertible Promissory NoteSEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2019-10-08 | IndirectSee Footnote | Not disclosed |
Reported balance
After 2019-10-08 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-10-08 · Disposition to issuer · Disposed 500,000 · Balance Not disclosed F2: The Company recently completed a convertible promissory note exchange offer in which Argonne Trading participated, among other non-affiliated investors. Pursuant to the exchange offer, as an inducement to extend the maturity date of a certain convertible promissory note (the "Original Note") beneficially owned by Mr. Klump, the Company (i) issued a new convertible promissory note in the principal amount equal to the principal amount of the Original Note plus the accrued but unpaid interest thereon and (ii) issued a warrant to purchase shares of common stock covering fifty percent of the shares of common stock into which the principal amount of the Original Note was convertible. F1: 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 |
| Convertible Promissory NoteSEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2020-04-01 | IndirectSee Footnote | Not disclosed |
Reported balance
After 2019-10-08 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-10-08 · Grant · Acquired 537,397 · Balance Not disclosed F2: The Company recently completed a convertible promissory note exchange offer in which Argonne Trading participated, among other non-affiliated investors. Pursuant to the exchange offer, as an inducement to extend the maturity date of a certain convertible promissory note (the "Original Note") beneficially owned by Mr. Klump, the Company (i) issued a new convertible promissory note in the principal amount equal to the principal amount of the Original Note plus the accrued but unpaid interest thereon and (ii) issued a warrant to purchase shares of common stock covering fifty percent of the shares of common stock into which the principal amount of the Original Note was convertible. F1: 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 |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.30 · Expires 2024-10-08 | IndirectSee Footnote | 500,000 |
Reported balance
After 2019-10-08 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-10-08 · Grant · Acquired 500,000 · Balance 500,000 F2: The Company recently completed a convertible promissory note exchange offer in which Argonne Trading participated, among other non-affiliated investors. Pursuant to the exchange offer, as an inducement to extend the maturity date of a certain convertible promissory note (the "Original Note") beneficially owned by Mr. Klump, the Company (i) issued a new convertible promissory note in the principal amount equal to the principal amount of the Original Note plus the accrued but unpaid interest thereon and (ii) issued a warrant to purchase shares of common stock covering fifty percent of the shares of common stock into which the principal amount of the Original Note was convertible. F1: 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 |
Filing footnotes · ownership attribution and instrument terms
F1: 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
F2: The Company recently completed a convertible promissory note exchange offer in which Argonne Trading participated, among other non-affiliated investors. Pursuant to the exchange offer, as an inducement to extend the maturity date of a certain convertible promissory note (the "Original Note") beneficially owned by Mr. Klump, the Company (i) issued a new convertible promissory note in the principal amount equal to the principal amount of the Original Note plus the accrued but unpaid interest thereon and (ii) issued a warrant to purchase shares of common stock covering fifty percent of the shares of common stock into which the principal amount of the Original Note was convertible.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 19, 2019 Filed Dec 24, 2019 00:08 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantStock Option (right to buy) · Derivative | 750,000 | $0.00 Strike: $0.63 | $0.00 |
DisclosureSEC source: 0000899243-19-030003 · doc4.xml · derivative · entry 1 Klump Michael A · CIK 0001748882 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 750,000 Underlying: Common Stock · 750,000 shares Expires 2029-12-19 Read SEC document |
| October 08, 2019 Filed Jan 9, 2020 01:33 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantWarrant (Right to Buy) · Derivative | 500,000 | Not disclosed Strike: $0.30 | Not disclosed |
DisclosureSEC source: 0000899243-20-000854 · doc4.xml · derivative · entry 3 Klump Michael A · CIK 0001748882 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 500,000 Underlying: Common Stock · 500,000 shares Expires 2024-10-08 F2 · price: The Company recently completed a convertible promissory note exchange offer in which Argonne Trading participated, among other non-affiliated investors. Pursuant to the exchange offer, as an inducement to extend the maturity date of a certain convertible promissory note (the "Original Note") beneficially owned by Mr. Klump, the Company (i) issued a new convertible promissory note in the principal amount equal to the principal amount of the Original Note plus the accrued but unpaid interest thereon and (ii) issued a warrant to purchase shares of common stock covering fifty percent of the shares of common stock into which the principal amount of the Original Note was convertible. 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 Read SEC document |
| October 08, 2019 Filed Jan 9, 2020 01:33 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantConvertible Promissory Note · Derivative | 537,397 | Not disclosed Strike: $0.50 | Not disclosed |
DisclosureSEC source: 0000899243-20-000854 · doc4.xml · derivative · entry 2 Klump Michael A · CIK 0001748882 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 1,075,758 shares Expires 2020-04-01 F2 · price: The Company recently completed a convertible promissory note exchange offer in which Argonne Trading participated, among other non-affiliated investors. Pursuant to the exchange offer, as an inducement to extend the maturity date of a certain convertible promissory note (the "Original Note") beneficially owned by Mr. Klump, the Company (i) issued a new convertible promissory note in the principal amount equal to the principal amount of the Original Note plus the accrued but unpaid interest thereon and (ii) issued a warrant to purchase shares of common stock covering fifty percent of the shares of common stock into which the principal amount of the Original Note was convertible. 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 Read SEC document |
| October 08, 2019 Filed Jan 9, 2020 01:33 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerConvertible Promissory Note · Derivative | 500,000 | Not disclosed Strike: $0.50 | Not disclosed |
DisclosureSEC source: 0000899243-20-000854 · doc4.xml · derivative · entry 1 Klump Michael A · CIK 0001748882 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 1,000,000 shares Expires 2019-10-08 F2 · price: The Company recently completed a convertible promissory note exchange offer in which Argonne Trading participated, among other non-affiliated investors. Pursuant to the exchange offer, as an inducement to extend the maturity date of a certain convertible promissory note (the "Original Note") beneficially owned by Mr. Klump, the Company (i) issued a new convertible promissory note in the principal amount equal to the principal amount of the Original Note plus the accrued but unpaid interest thereon and (ii) issued a warrant to purchase shares of common stock covering fifty percent of the shares of common stock into which the principal amount of the Original Note was convertible. 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 Read SEC document |
| June 18, 2019 Filed Jun 20, 2019 01:05 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantStock Options (right to buy) · Derivative | 100,000 | $0.00 Strike: $0.52 | $0.00 |
DisclosureSEC 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. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionWarrant (Right to Buy) · Derivative | 125,000 | $0.00 Strike: $0.40 | $0.00 |
DisclosureSEC 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. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantWarrant (Right to Buy) · Derivative | 125,000 | Not disclosed Strike: $0.40 | Not disclosed |
DisclosureSEC 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. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerWarrant (Right to Buy) · Derivative | 125,000 | Not disclosed Strike: $1.35 | Not disclosed |
DisclosureSEC 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. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionWarrant (Right to Buy) · Derivative | 66,667 | $0.00 Strike: $0.40 | $0.00 |
DisclosureSEC 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. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantWarrant (Right to Buy) · Derivative | 66,667 | Not disclosed Strike: $0.40 | Not disclosed |
DisclosureSEC 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. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerWarrant (Right to Buy) · Derivative | 66,667 | Not disclosed Strike: $1.00 | Not disclosed |
DisclosureSEC 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. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionWarrant (Right to Buy) · Derivative | 500,000 | $0.00 Strike: $0.30 | $0.00 |
DisclosureSEC 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. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionWarrant (Right to Buy) · Derivative | 1,933,333 | $0.00 Strike: $0.40 | $0.00 |
DisclosureSEC 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. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantWarrant (Right to Buy) · Derivative | 1,933,333 | Not disclosed Strike: $0.40 | Not disclosed |
DisclosureSEC 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. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerWarrant (Right to Buy) · Derivative | 1,933,333 | Not disclosed Strike: $1.00 | Not disclosed |
DisclosureSEC 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. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionWarrant (Right to Buy) · Derivative | 1,000,000 | $0.00 Strike: $0.40 | $0.00 |
DisclosureSEC 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. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantWarrant (Right to Buy) · Derivative | 1,000,000 | Not disclosed Strike: $0.40 | Not disclosed |
DisclosureSEC 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. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerWarrant (Right to Buy) · Derivative | 1,000,000 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC 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. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantCommon Stock | 62,500 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantCommon Stock | 33,333 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantCommon Stock | 1,716,666 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-013098 · doc4.xml · nonDerivative · entry 6 Klump Michael A · CIK 0001748882 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 12,184,519 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. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionCommon Stock | 125,000 | $0.40 | $50,000.00 |
DisclosureSEC source: 0000899243-19-013098 · doc4.xml · nonDerivative · entry 5 Klump Michael A · CIK 0001748882 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 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. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionCommon Stock | 66,667 | $0.40 | $26,666.80 |
DisclosureSEC source: 0000899243-19-013098 · doc4.xml · nonDerivative · entry 4 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 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. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionCommon Stock | 500,000 | $0.30 | $150,000.00 |
DisclosureSEC source: 0000899243-19-013098 · doc4.xml · nonDerivative · entry 3 Klump Michael A · CIK 0001748882 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 10,467,853 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. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionCommon Stock | 1,933,333 | $0.40 | $773,333.20 |
DisclosureSEC source: 0000899243-19-013098 · doc4.xml · nonDerivative · entry 2 Klump Michael A · CIK 0001748882 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,967,853 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. Read SEC document |
| May 08, 2019 Filed May 10, 2019 21:25 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionCommon Stock | 1,000,000 | $0.40 | $400,000.00 |
DisclosureSEC source: 0000899243-19-013098 · doc4.xml · nonDerivative · entry 1 Klump Michael A · CIK 0001748882 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 8,034,520 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. Read SEC document |
| January 08, 2019 Filed Jan 10, 2019 22:27 UTC | CytoDyn Inc. CYDY · Entity 5856 | PurchaseWarrants · Derivative | 500,000 | Not disclosed Strike: $0.30 | Not disclosed |
DisclosureSEC source: 0000899243-19-000989 · doc4.xml · derivative · entry 2 Klump Michael A · CIK 0001748882 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 500,000 Underlying: Common Stock · 500,000 shares Expires 2024-01-08 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 $500,000 (i) a $500,000 convertible promissory note, bearing interest at 10.0% annually, which is convertible into shares of the issuer's common stock at an initial conversion price of $0.50 per share and matures on October 8, 2019, and (ii) a warrant covering 50% of the number of shares underlying the convertible promissory note with an exercise price of $0.30 per share and an expiration date of January 8, 2024. F4 · ownership.nature: The reported securities 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. Read SEC document |
| January 08, 2019 Filed Jan 10, 2019 22:27 UTC | CytoDyn Inc. CYDY · Entity 5856 | PurchaseConvertible Promissory Note · Derivative | 500,000 | Not disclosed Strike: $0.50 | Not disclosed |
DisclosureSEC source: 0000899243-19-000989 · doc4.xml · derivative · entry 1 Klump Michael A · CIK 0001748882 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 500,000 Underlying: Common Stock · 1,000,000 shares Expires 2019-10-08 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 $500,000 (i) a $500,000 convertible promissory note, bearing interest at 10.0% annually, which is convertible into shares of the issuer's common stock at an initial conversion price of $0.50 per share and matures on October 8, 2019, and (ii) a warrant covering 50% of the number of shares underlying the convertible promissory note with an exercise price of $0.30 per share and an expiration date of January 8, 2024. F2 · derivative.underlying_shares: Does not include additional shares issuable upon conversion of accrued interest. F4 · ownership.nature: The reported securities 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. Read SEC document |
| November 16, 2018 Filed Nov 16, 2018 23:32 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerWarrants (right to buy) · Derivative | 66,667 | Not disclosed Strike: $1.00 | Not disclosed |
DisclosureSEC source: 0000899243-18-029191 · doc4.xml · derivative · entry 6 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 F1 · price: On November 16, 2018, CytoDyn Inc. completed a holding company reorganization in which CytoDyn Inc. ("Old CytoDyn") merged with and into a wholly-owned subsidiary of Point NewCo Inc. (which has been renamed CytoDyn Inc.) ("New CytoDyn") with Old CytoDyn continuing as the surviving corporation and as a wholly-owned subsidiary of New CytoDyn (the "Holding Company Reorganization"). In the Holding Company Reorganization, each outstanding share of Old CytoDyn capital stock (including common stock and Series B preferred stock) was disposed of in exchange for an equivalent share of New CytoDyn capital stock, and each Old CytoDyn warrant, convertible promissory note and stock option was converted into an equivalent right to purchase New CytoDyn common stock. F2 · price: In connection with the transactions consummated on November 16, 2018, immediately after the effective time of the Holding Company Reorganization, New CytoDyn issued to ProstaGene, LLC 27,000,000 newly issued shares of New CytoDyn common stock (representing approximately 6.5% of the total number of outstanding shares of New CytoDyn common stock, after giving effect to such issuance). Read SEC document |
| November 16, 2018 Filed Nov 16, 2018 23:32 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerWarrants (right to buy) · Derivative | 1,933,333 | Not disclosed Strike: $1.00 | Not disclosed |
DisclosureSEC source: 0000899243-18-029191 · doc4.xml · derivative · entry 5 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 F1 · price: On November 16, 2018, CytoDyn Inc. completed a holding company reorganization in which CytoDyn Inc. ("Old CytoDyn") merged with and into a wholly-owned subsidiary of Point NewCo Inc. (which has been renamed CytoDyn Inc.) ("New CytoDyn") with Old CytoDyn continuing as the surviving corporation and as a wholly-owned subsidiary of New CytoDyn (the "Holding Company Reorganization"). In the Holding Company Reorganization, each outstanding share of Old CytoDyn capital stock (including common stock and Series B preferred stock) was disposed of in exchange for an equivalent share of New CytoDyn capital stock, and each Old CytoDyn warrant, convertible promissory note and stock option was converted into an equivalent right to purchase New CytoDyn common stock. F2 · price: In connection with the transactions consummated on November 16, 2018, immediately after the effective time of the Holding Company Reorganization, New CytoDyn issued to ProstaGene, LLC 27,000,000 newly issued shares of New CytoDyn common stock (representing approximately 6.5% of the total number of outstanding shares of New CytoDyn common stock, after giving effect to such issuance). F3 · ownership.nature: The reported securities 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. Read SEC document |
| November 16, 2018 Filed Nov 16, 2018 23:32 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerWarrants (right to buy) · Derivative | 1,000,000 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-029191 · doc4.xml · derivative · entry 4 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 F1 · price: On November 16, 2018, CytoDyn Inc. completed a holding company reorganization in which CytoDyn Inc. ("Old CytoDyn") merged with and into a wholly-owned subsidiary of Point NewCo Inc. (which has been renamed CytoDyn Inc.) ("New CytoDyn") with Old CytoDyn continuing as the surviving corporation and as a wholly-owned subsidiary of New CytoDyn (the "Holding Company Reorganization"). In the Holding Company Reorganization, each outstanding share of Old CytoDyn capital stock (including common stock and Series B preferred stock) was disposed of in exchange for an equivalent share of New CytoDyn capital stock, and each Old CytoDyn warrant, convertible promissory note and stock option was converted into an equivalent right to purchase New CytoDyn common stock. F2 · price: In connection with the transactions consummated on November 16, 2018, immediately after the effective time of the Holding Company Reorganization, New CytoDyn issued to ProstaGene, LLC 27,000,000 newly issued shares of New CytoDyn common stock (representing approximately 6.5% of the total number of outstanding shares of New CytoDyn common stock, after giving effect to such issuance). F3 · ownership.nature: The reported securities 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. Read SEC document |
| November 16, 2018 Filed Nov 16, 2018 23:32 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerWarrants (right to buy) · Derivative | 125,000 | Not disclosed Strike: $1.35 | Not disclosed |
DisclosureSEC source: 0000899243-18-029191 · doc4.xml · derivative · entry 3 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 F1 · price: On November 16, 2018, CytoDyn Inc. completed a holding company reorganization in which CytoDyn Inc. ("Old CytoDyn") merged with and into a wholly-owned subsidiary of Point NewCo Inc. (which has been renamed CytoDyn Inc.) ("New CytoDyn") with Old CytoDyn continuing as the surviving corporation and as a wholly-owned subsidiary of New CytoDyn (the "Holding Company Reorganization"). In the Holding Company Reorganization, each outstanding share of Old CytoDyn capital stock (including common stock and Series B preferred stock) was disposed of in exchange for an equivalent share of New CytoDyn capital stock, and each Old CytoDyn warrant, convertible promissory note and stock option was converted into an equivalent right to purchase New CytoDyn common stock. F2 · price: In connection with the transactions consummated on November 16, 2018, immediately after the effective time of the Holding Company Reorganization, New CytoDyn issued to ProstaGene, LLC 27,000,000 newly issued shares of New CytoDyn common stock (representing approximately 6.5% of the total number of outstanding shares of New CytoDyn common stock, after giving effect to such issuance). Read SEC document |
| November 16, 2018 Filed Nov 16, 2018 23:32 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerStock Options (right to buy) · Derivative | 80,822 | Not disclosed Strike: $0.47 | Not disclosed |
DisclosureSEC source: 0000899243-18-029191 · doc4.xml · derivative · entry 2 Klump Michael A · CIK 0001748882 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 80,822 shares Expires 2028-08-10 F1 · price: On November 16, 2018, CytoDyn Inc. completed a holding company reorganization in which CytoDyn Inc. ("Old CytoDyn") merged with and into a wholly-owned subsidiary of Point NewCo Inc. (which has been renamed CytoDyn Inc.) ("New CytoDyn") with Old CytoDyn continuing as the surviving corporation and as a wholly-owned subsidiary of New CytoDyn (the "Holding Company Reorganization"). In the Holding Company Reorganization, each outstanding share of Old CytoDyn capital stock (including common stock and Series B preferred stock) was disposed of in exchange for an equivalent share of New CytoDyn capital stock, and each Old CytoDyn warrant, convertible promissory note and stock option was converted into an equivalent right to purchase New CytoDyn common stock. F2 · price: In connection with the transactions consummated on November 16, 2018, immediately after the effective time of the Holding Company Reorganization, New CytoDyn issued to ProstaGene, LLC 27,000,000 newly issued shares of New CytoDyn common stock (representing approximately 6.5% of the total number of outstanding shares of New CytoDyn common stock, after giving effect to such issuance). F4 · derivative.exercise_date: The options vested with respect to 5,822 shares on September 1, 2018, and the remaining shares vest in three equal quarterly installments commencing on December 1, 2018. Read SEC document |
| November 16, 2018 Filed Nov 16, 2018 23:32 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerCommon Stock | 7,034,520 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-029191 · doc4.xml · nonDerivative · entry 1 Klump Michael A · CIK 0001748882 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · price: On November 16, 2018, CytoDyn Inc. completed a holding company reorganization in which CytoDyn Inc. ("Old CytoDyn") merged with and into a wholly-owned subsidiary of Point NewCo Inc. (which has been renamed CytoDyn Inc.) ("New CytoDyn") with Old CytoDyn continuing as the surviving corporation and as a wholly-owned subsidiary of New CytoDyn (the "Holding Company Reorganization"). In the Holding Company Reorganization, each outstanding share of Old CytoDyn capital stock (including common stock and Series B preferred stock) was disposed of in exchange for an equivalent share of New CytoDyn capital stock, and each Old CytoDyn warrant, convertible promissory note and stock option was converted into an equivalent right to purchase New CytoDyn common stock. F2 · price: In connection with the transactions consummated on November 16, 2018, immediately after the effective time of the Holding Company Reorganization, New CytoDyn issued to ProstaGene, LLC 27,000,000 newly issued shares of New CytoDyn common stock (representing approximately 6.5% of the total number of outstanding shares of New CytoDyn common stock, after giving effect to such issuance). F3 · ownership.nature: The reported securities 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. Read SEC document |
| November 16, 2018 Filed Nov 19, 2018 13:01 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantWarrants (right to buy) · Derivative | 66,667 | Not disclosed Strike: $1.00 | Not disclosed |
DisclosureSEC source: 0000899243-18-029256 · doc4.xml · derivative · entry 6 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 F1 · price: On November 16, 2018, CytoDyn Inc. completed a holding company reorganization in which CytoDyn Inc. ("Old CytoDyn") merged with and into a wholly-owned subsidiary of Point NewCo Inc. (which has been renamed CytoDyn Inc.) ("New CytoDyn") with Old CytoDyn continuing as the surviving corporation and as a wholly-owned subsidiary of New CytoDyn (the "Holding Company Reorganization"). In the Holding Company Reorganization, each outstanding share of Old CytoDyn capital stock (including common stock and Series B preferred stock) was disposed of in exchange for an equivalent share of New CytoDyn capital stock, and each Old CytoDyn warrant, convertible promissory note and stock option was converted into an equivalent right to purchase New CytoDyn common stock. F2 · price: In connection with the transactions consummated on November 16, 2018, immediately after the effective time of the Holding Company Reorganization, New CytoDyn issued to ProstaGene, LLC 27,000,000 newly issued shares of New CytoDyn common stock (representing approximately 6.5% of the total number of outstanding shares of New CytoDyn common stock, after giving effect to such issuance). Read SEC document |
| November 16, 2018 Filed Nov 19, 2018 13:01 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantWarrants (right to buy) · Derivative | 1,933,333 | Not disclosed Strike: $1.00 | Not disclosed |
DisclosureSEC source: 0000899243-18-029256 · doc4.xml · derivative · entry 5 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 F1 · price: On November 16, 2018, CytoDyn Inc. completed a holding company reorganization in which CytoDyn Inc. ("Old CytoDyn") merged with and into a wholly-owned subsidiary of Point NewCo Inc. (which has been renamed CytoDyn Inc.) ("New CytoDyn") with Old CytoDyn continuing as the surviving corporation and as a wholly-owned subsidiary of New CytoDyn (the "Holding Company Reorganization"). In the Holding Company Reorganization, each outstanding share of Old CytoDyn capital stock (including common stock and Series B preferred stock) was disposed of in exchange for an equivalent share of New CytoDyn capital stock, and each Old CytoDyn warrant, convertible promissory note and stock option was converted into an equivalent right to purchase New CytoDyn common stock. F2 · price: In connection with the transactions consummated on November 16, 2018, immediately after the effective time of the Holding Company Reorganization, New CytoDyn issued to ProstaGene, LLC 27,000,000 newly issued shares of New CytoDyn common stock (representing approximately 6.5% of the total number of outstanding shares of New CytoDyn common stock, after giving effect to such issuance). F3 · ownership.nature: The reported securities 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. Read SEC document |
| November 16, 2018 Filed Nov 19, 2018 13:01 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantWarrants (right to buy) · Derivative | 1,000,000 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-029256 · doc4.xml · derivative · entry 4 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 F1 · price: On November 16, 2018, CytoDyn Inc. completed a holding company reorganization in which CytoDyn Inc. ("Old CytoDyn") merged with and into a wholly-owned subsidiary of Point NewCo Inc. (which has been renamed CytoDyn Inc.) ("New CytoDyn") with Old CytoDyn continuing as the surviving corporation and as a wholly-owned subsidiary of New CytoDyn (the "Holding Company Reorganization"). In the Holding Company Reorganization, each outstanding share of Old CytoDyn capital stock (including common stock and Series B preferred stock) was disposed of in exchange for an equivalent share of New CytoDyn capital stock, and each Old CytoDyn warrant, convertible promissory note and stock option was converted into an equivalent right to purchase New CytoDyn common stock. F2 · price: In connection with the transactions consummated on November 16, 2018, immediately after the effective time of the Holding Company Reorganization, New CytoDyn issued to ProstaGene, LLC 27,000,000 newly issued shares of New CytoDyn common stock (representing approximately 6.5% of the total number of outstanding shares of New CytoDyn common stock, after giving effect to such issuance). F3 · ownership.nature: The reported securities 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. Read SEC document |
| November 16, 2018 Filed Nov 19, 2018 13:01 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantWarrants (right to buy) · Derivative | 125,000 | Not disclosed Strike: $1.35 | Not disclosed |
DisclosureSEC source: 0000899243-18-029256 · doc4.xml · derivative · entry 3 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 F1 · price: On November 16, 2018, CytoDyn Inc. completed a holding company reorganization in which CytoDyn Inc. ("Old CytoDyn") merged with and into a wholly-owned subsidiary of Point NewCo Inc. (which has been renamed CytoDyn Inc.) ("New CytoDyn") with Old CytoDyn continuing as the surviving corporation and as a wholly-owned subsidiary of New CytoDyn (the "Holding Company Reorganization"). In the Holding Company Reorganization, each outstanding share of Old CytoDyn capital stock (including common stock and Series B preferred stock) was disposed of in exchange for an equivalent share of New CytoDyn capital stock, and each Old CytoDyn warrant, convertible promissory note and stock option was converted into an equivalent right to purchase New CytoDyn common stock. F2 · price: In connection with the transactions consummated on November 16, 2018, immediately after the effective time of the Holding Company Reorganization, New CytoDyn issued to ProstaGene, LLC 27,000,000 newly issued shares of New CytoDyn common stock (representing approximately 6.5% of the total number of outstanding shares of New CytoDyn common stock, after giving effect to such issuance). Read SEC document |
| November 16, 2018 Filed Nov 19, 2018 13:01 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantStock Options (right to buy) · Derivative | 80,822 | Not disclosed Strike: $0.47 | Not disclosed |
DisclosureSEC source: 0000899243-18-029256 · doc4.xml · derivative · entry 2 Klump Michael A · CIK 0001748882 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,822 Underlying: Common Stock · 80,822 shares Expires 2028-08-10 F1 · price: On November 16, 2018, CytoDyn Inc. completed a holding company reorganization in which CytoDyn Inc. ("Old CytoDyn") merged with and into a wholly-owned subsidiary of Point NewCo Inc. (which has been renamed CytoDyn Inc.) ("New CytoDyn") with Old CytoDyn continuing as the surviving corporation and as a wholly-owned subsidiary of New CytoDyn (the "Holding Company Reorganization"). In the Holding Company Reorganization, each outstanding share of Old CytoDyn capital stock (including common stock and Series B preferred stock) was disposed of in exchange for an equivalent share of New CytoDyn capital stock, and each Old CytoDyn warrant, convertible promissory note and stock option was converted into an equivalent right to purchase New CytoDyn common stock. F2 · price: In connection with the transactions consummated on November 16, 2018, immediately after the effective time of the Holding Company Reorganization, New CytoDyn issued to ProstaGene, LLC 27,000,000 newly issued shares of New CytoDyn common stock (representing approximately 6.5% of the total number of outstanding shares of New CytoDyn common stock, after giving effect to such issuance). F4 · derivative.exercise_date: The options (including predecessor options) vested with respect to 5,822 shares on September 1, 2018, and the remaining shares vest in three equal quarterly installments commencing on December 1, 2018. Read SEC document |
| November 16, 2018 Filed Nov 19, 2018 13:01 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantCommon Stock | 7,034,520 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-029256 · doc4.xml · nonDerivative · entry 1 Klump Michael A · CIK 0001748882 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 7,034,520 F1 · price: On November 16, 2018, CytoDyn Inc. completed a holding company reorganization in which CytoDyn Inc. ("Old CytoDyn") merged with and into a wholly-owned subsidiary of Point NewCo Inc. (which has been renamed CytoDyn Inc.) ("New CytoDyn") with Old CytoDyn continuing as the surviving corporation and as a wholly-owned subsidiary of New CytoDyn (the "Holding Company Reorganization"). In the Holding Company Reorganization, each outstanding share of Old CytoDyn capital stock (including common stock and Series B preferred stock) was disposed of in exchange for an equivalent share of New CytoDyn capital stock, and each Old CytoDyn warrant, convertible promissory note and stock option was converted into an equivalent right to purchase New CytoDyn common stock. F2 · price: In connection with the transactions consummated on November 16, 2018, immediately after the effective time of the Holding Company Reorganization, New CytoDyn issued to ProstaGene, LLC 27,000,000 newly issued shares of New CytoDyn common stock (representing approximately 6.5% of the total number of outstanding shares of New CytoDyn common stock, after giving effect to such issuance). F3 · ownership.nature: The reported securities 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. Read SEC document |
| August 10, 2018 Filed Aug 14, 2018 21:32 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantStock Option (right to buy) · Derivative | 80,822 | $0.00 Strike: $0.47 | $0.00 |
DisclosureSEC source: 0000899243-18-022326 · doc4.xml · derivative · entry 1 Klump Michael A · CIK 0001748882 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,822 Underlying: Common Stock · 80,822 shares Expires 2028-08-10 F1 · derivative.exercise_date: The options will vest commencing on September 1, 2018 with respect to 5,822 shares, and will vest in three equal quarterly installments commencing on December 1, 2018 with respect to the remaining shares. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.