Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AYTU BIOPHARMA, INCAYTU · Entity 7560 | Director | July 28, 2026 | July 30, 2026 |
| CytoDyn Inc.CYDY · Entity 5856 | Director | June 18, 2019 | June 20, 2019 |
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.
AYTU BIOPHARMA, INC
Report date July 28, 2026 · Filed July 30, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 31,152 |
Reported balance
After 2026-07-28 transaction · row 1
1 source rowRow 1 · 2026-07-28 · Grant · Acquired 10,000 · Balance 31,152 F1: Grant of restricted stock, which vest on July 28, 2027. |
Filing footnotes · ownership attribution and instrument terms
F1: Grant of restricted stock, which vest on July 28, 2027.
CytoDyn Inc.
Report date June 18, 2019 · Filed June 20, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Options (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.52 · Expires 2029-06-18 | Direct | 100,000 |
Reported balance
After 2019-06-18 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-06-18 · Grant · Acquired 100,000 · Balance 100,000 F1: The options will vest in four equal quarterly installments, commencing on September 1, 2019. |
Filing footnotes · ownership attribution and instrument terms
F1: The options will vest in four equal quarterly installments, commencing on September 1, 2019.
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 |
|---|---|---|---|---|---|---|
| July 28, 2026 Filed Jul 30, 2026 20:31 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-025076 · rdgdoc.xml · nonDerivative · entry 1 DOCKERY CARL · CIK 0001618149 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,152 F1 · shares: Grant of restricted stock, which vest on July 28, 2027. Read SEC document |
| October 03, 2025 Filed Oct 7, 2025 20:08 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-25-030634 · rdgdoc.xml · nonDerivative · entry 1 DOCKERY CARL · CIK 0001618149 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,440 F1 · shares: Grant of restricted stock, which vest on October 3, 2026. Read SEC document |
| November 06, 2024 Filed Nov 9, 2024 01:44 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantCommon Shares | 1,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000912282-24-000764 · form4.xml · nonDerivative · entry 1 DOCKERY CARL · CIK 0001618149 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,440 F1 · shares: Grant of restricted shares, which vest on the earlier of November 6, 2025, or at the Issuer's next annual stockholder meeting. Read SEC document |
| August 11, 2023 Filed Aug 15, 2023 23:38 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantCommon Shares | 1,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000912282-23-000300 · form4.xml · nonDerivative · entry 1 DOCKERY CARL · CIK 0001618149 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,940 F1 · shares: Grant of restricted shares, which vest as follows: 1/3 on August 11, 2024, with the remaining restricted shares vesting in eight equal installments every three months beginning on November 11, 2024. F2 · balance_after: Reflects 1-for-20 reverse stock split effected by the Issuer on January 6, 2023. Read SEC document |
| December 21, 2022 Filed Dec 23, 2022 22:13 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | Disposition to issuerCommon Stock | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-22-021997 · doc1.xml · nonDerivative · entry 1 DOCKERY CARL · CIK 0001618149 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,805 F1 · shares: On December 21, 2022, the reporting person and the Issuer determined to rescind 40,000 vested shares of restricted common stock originally granted to the reporting person on April 16, 2021. The vesting of the remaining restricted shares remains unchanged with 1/12 vesting on the first day of each quarterly anniversary of the grant, such that the restricted shares will be fully vested on the third anniversary of the grant, subject to the reporting person's continued service with the Issuer. F1 · price: On December 21, 2022, the reporting person and the Issuer determined to rescind 40,000 vested shares of restricted common stock originally granted to the reporting person on April 16, 2021. The vesting of the remaining restricted shares remains unchanged with 1/12 vesting on the first day of each quarterly anniversary of the grant, such that the restricted shares will be fully vested on the third anniversary of the grant, subject to the reporting person's continued service with the Issuer. Read SEC document |
| April 16, 2021 Filed Apr 16, 2021 21:26 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantCommon Stock | 187,804 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-008238 · doc1.xml · nonDerivative · entry 1 DOCKERY CARL · CIK 0001618149 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,805 F1 · shares: Grant of restricted shares. The restricted shares have the following accelerated vesting conditions: (1) The consummation of a Sale Event. (2) The closing price of the Company's stock price is equal or greater than forty dollars per share ($40) for two consecutive trading days. (3) The Grantee's service with the Company or a Related Entity is terminated by the Company without Cause (as defined below). The restricted shares vest as follows, and have no voting or dispositive rights until vested: 1/3 on April 16, 2022, and 1/12 on the first day of each quarter thereafter, such that the restricted shares will be fully vested on the third anniversary of the grant, subject to the reporting person's continuing employment with the Issuer. F1 · price: Grant of restricted shares. The restricted shares have the following accelerated vesting conditions: (1) The consummation of a Sale Event. (2) The closing price of the Company's stock price is equal or greater than forty dollars per share ($40) for two consecutive trading days. (3) The Grantee's service with the Company or a Related Entity is terminated by the Company without Cause (as defined below). The restricted shares vest as follows, and have no voting or dispositive rights until vested: 1/3 on April 16, 2022, and 1/12 on the first day of each quarter thereafter, such that the restricted shares will be fully vested on the third anniversary of the grant, subject to the reporting person's continuing employment with the Issuer. Read SEC document |
| December 30, 2020 Filed Oct 20, 2025 19:56 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | SaleCommon Shares | 209 | $6.01 | $1,256.09 |
DisclosureSEC source: 0000912282-25-001096 · form5.xml · nonDerivative · entry 2 DOCKERY CARL · CIK 0001618149 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · Alpha Venture Capital Parner, LP Disclosed balance after: 0 F1 · kind: The Reporting Person's purchase and sale of AYTU common shares (the "Shares") reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 209 Shares sold on December 30, 2020, with the Reporting Person's purchase of 10,000 Shares on November 18, 2020. After taking into consideration the Issuer's 10:1 reverse stock split on December 10, 2020, the price for the November 18, 2020, purchase was $9.23 per share, or a total purchase price of $1,929.07 for 209 Shares. The total sale price of 209 Shares on December 30, 2020, was $1,256.09. THE REPORTING PERSON DID NOT REALIZE ANY PROFIT IN CONNECTION WITH THE SHORT-SWING PURCHASE AND SALE. Read SEC document |
| November 18, 2020 Filed Oct 20, 2025 19:56 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | PurchaseCommon Shares | 10,000 | $0.92 | $9,230.00 |
DisclosureSEC source: 0000912282-25-001096 · form5.xml · nonDerivative · entry 1 DOCKERY CARL · CIK 0001618149 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · Alpha Venture Capital Management, LLC Disclosed balance after: 50 F1 · kind: The Reporting Person's purchase and sale of AYTU common shares (the "Shares") reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 209 Shares sold on December 30, 2020, with the Reporting Person's purchase of 10,000 Shares on November 18, 2020. After taking into consideration the Issuer's 10:1 reverse stock split on December 10, 2020, the price for the November 18, 2020, purchase was $9.23 per share, or a total purchase price of $1,929.07 for 209 Shares. The total sale price of 209 Shares on December 30, 2020, was $1,256.09. THE REPORTING PERSON DID NOT REALIZE ANY PROFIT IN CONNECTION WITH THE SHORT-SWING PURCHASE AND SALE. F2 · balance_after: Represents total Shares held following stock splits on June 30, 2016 (12:1), August 25, 2017 (20:1), August 13, 2018 (20:1), December 10, 2020 (10:1) and January 6, 2023 (20:1). Read SEC document |
| June 08, 2020 Filed Aug 17, 2020 16:29 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantEmployee Stock Option Grant · Derivative | 40,000 | $0.00 Strike: $1.45 | $0.00 |
DisclosureSEC source: 0001654954-20-009234 · section16.xml · derivative · entry 3 DOCKERY CARL · CIK 0001618149 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,038 Underlying: Common Stock · 40,000 shares Expires 2030-06-07 F3 · derivative.exercise_date: 100% vest on June 7, 2021, subject to the Grantee's continued service as a director on such dates. Read SEC document |
| June 18, 2019 Filed Jun 20, 2019 01:00 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantStock Options (right to buy) · Derivative | 100,000 | $0.00 Strike: $0.52 | $0.00 |
DisclosureSEC source: 0000899243-19-017507 · 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. Read SEC document |
| June 12, 2019 Filed Jun 14, 2019 22:14 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionWarrant (Right to Buy) · Derivative | 66,667 | $0.00 Strike: $0.40 | $0.00 |
DisclosureSEC source: 0000899243-19-017093 · 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. Read SEC document |
| June 12, 2019 Filed Jun 14, 2019 22:14 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantWarrant (Right to Buy) · Derivative | 66,667 | Not disclosed Strike: $0.40 | Not disclosed |
DisclosureSEC 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. Read SEC document |
| June 12, 2019 Filed Jun 14, 2019 22:14 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerWarrant (Right to Buy) · Derivative | 66,667 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC 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. Read SEC document |
| June 12, 2019 Filed Jun 14, 2019 22:14 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionWarrant (Right to Buy) · Derivative | 250,000 | $0.00 Strike: $0.40 | $0.00 |
DisclosureSEC 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. Read SEC document |
| June 12, 2019 Filed Jun 14, 2019 22:14 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantWarrant (Right to Buy) · Derivative | 250,000 | Not disclosed Strike: $0.40 | Not disclosed |
DisclosureSEC 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. Read SEC document |
| June 12, 2019 Filed Jun 14, 2019 22:14 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerWarrant (Right to Buy) · Derivative | 250,000 | Not disclosed Strike: $0.50 | Not disclosed |
DisclosureSEC 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. Read SEC document |
| June 12, 2019 Filed Jun 14, 2019 22:14 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionWarrant (Right to Buy) · Derivative | 33,333 | $0.00 Strike: $0.40 | $0.00 |
DisclosureSEC 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. Read SEC document |
| June 12, 2019 Filed Jun 14, 2019 22:14 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantWarrant (Right to Buy) · Derivative | 33,333 | Not disclosed Strike: $0.40 | Not disclosed |
DisclosureSEC 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. Read SEC document |
| June 12, 2019 Filed Jun 14, 2019 22:14 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerWarrant (Right to Buy) · Derivative | 33,333 | Not disclosed Strike: $1.00 | Not disclosed |
DisclosureSEC 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. Read SEC document |
| June 12, 2019 Filed Jun 14, 2019 22:14 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionWarrant (Right to Buy) · Derivative | 1,000,000 | $0.00 Strike: $0.40 | $0.00 |
DisclosureSEC source: 0000899243-19-017093 · 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. Read SEC document |
| June 12, 2019 Filed Jun 14, 2019 22:14 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantWarrant (Right to Buy) · Derivative | 1,000,000 | Not disclosed Strike: $0.40 | Not disclosed |
DisclosureSEC source: 0000899243-19-017093 · 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. Read SEC document |
| June 12, 2019 Filed Jun 14, 2019 22:14 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerWarrant (Right to Buy) · Derivative | 1,000,000 | Not disclosed Strike: $0.68 | Not disclosed |
DisclosureSEC 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. Read SEC document |
| June 12, 2019 Filed Jun 14, 2019 22:14 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerWarrant (Right to Buy) · Derivative | 75,000 | Not disclosed Strike: $0.50 | Not disclosed |
DisclosureSEC 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. Read SEC document |
| June 12, 2019 Filed Jun 14, 2019 22:14 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantCommon Stock | 712,499 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| June 12, 2019 Filed Jun 14, 2019 22:14 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionCommon Stock | 66,667 | $0.40 | $26,666.80 |
DisclosureSEC 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. Read SEC document |
| June 12, 2019 Filed Jun 14, 2019 22:14 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionCommon Stock | 250,000 | $0.40 | $100,000.00 |
DisclosureSEC 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. Read SEC document |
| June 12, 2019 Filed Jun 14, 2019 22:14 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionCommon Stock | 33,333 | $0.30 | $9,999.90 |
DisclosureSEC 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. Read SEC document |
| June 12, 2019 Filed Jun 14, 2019 22:14 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionCommon Stock | 1,000,000 | $0.40 | $400,000.00 |
DisclosureSEC 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. Read SEC document |
| June 12, 2019 Filed Jun 14, 2019 22:14 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionCommon Stock | 75,000 | $0.40 | $30,000.00 |
DisclosureSEC 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. Read SEC document |
| May 08, 2019 Filed Jun 14, 2019 22:14 UTC | CytoDyn Inc. CYDY · Entity 5856 | Exercise / conversionWarrant (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $0.40 | $0.00 |
DisclosureSEC source: 0000899243-19-017093 · doc4.xml · derivative · entry 9 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 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. Read SEC document |
| May 08, 2019 Filed Jun 14, 2019 22:14 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantWarrant (Right to Buy) · Derivative | 75,000 | Not disclosed Strike: $0.40 | Not disclosed |
DisclosureSEC source: 0000899243-19-017093 · doc4.xml · derivative · entry 8 DOCKERY CARL · CIK 0001618149 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 75,000 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. Read SEC document |
| November 16, 2018 Filed Nov 16, 2018 23:29 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerWarrants (right to buy) · Derivative | 250,000 | Not disclosed Strike: $0.50 | Not disclosed |
DisclosureSEC source: 0000899243-18-029188 · 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 · 250,000 shares Expires 2019-12-31 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 Alpha Venture Capital Partners, L.P. ("AVCP") and Alpha Venture Capital Fund, L.P. ("ACVF"), with 7,347,326 shares held by AVCP and 230,769 shares held by AVCF. Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP and AVCF, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP and AVCF. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP and AVCF, except to the extent of his pecuniary interest in such securities. Read SEC document |
| November 16, 2018 Filed Nov 16, 2018 23:29 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerWarrants (right to buy) · Derivative | 66,667 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-029188 · 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 · 66,667 shares Expires 2023-01-31 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 Alpha Venture Capital Partners, L.P. ("AVCP") and Alpha Venture Capital Fund, L.P. ("ACVF"), with 7,347,326 shares held by AVCP and 230,769 shares held by AVCF. Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP and AVCF, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP and AVCF. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP and AVCF, except to the extent of his pecuniary interest in such securities. Read SEC document |
| November 16, 2018 Filed Nov 16, 2018 23:29 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerWarrants (right to buy) · Derivative | 33,333 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-029188 · doc4.xml · derivative · entry 11 DOCKERY CARL · CIK 0001618149 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 33,333 shares Expires 2022-07-28 F1 · price: 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 Alpha Venture Capital Partners, L.P. ("AVCP") and Alpha Venture Capital Fund, L.P. ("ACVF"), with 7,347,326 shares held by AVCP and 230,769 shares held by AVCF. Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP and AVCF, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP and AVCF. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP and AVCF, except to the extent of his pecuniary interest in such securities. Read SEC document |
| November 16, 2018 Filed Nov 16, 2018 23:29 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerWarrants (right to buy) · Derivative | 1,000,000 | Not disclosed Strike: $0.68 | Not disclosed |
DisclosureSEC source: 0000899243-18-029188 · 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 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 Alpha Venture Capital Partners, L.P. ("AVCP") and Alpha Venture Capital Fund, L.P. ("ACVF"), with 7,347,326 shares held by AVCP and 230,769 shares held by AVCF. Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP and AVCF, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP and AVCF. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP and AVCF, except to the extent of his pecuniary interest in such securities. Read SEC document |
| November 16, 2018 Filed Nov 16, 2018 23:29 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerWarrants (right to buy) · Derivative | 75,000 | Not disclosed Strike: $0.50 | Not disclosed |
DisclosureSEC source: 0000899243-18-029188 · doc4.xml · derivative · entry 9 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 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 Alpha Venture Capital Partners, L.P. ("AVCP") and Alpha Venture Capital Fund, L.P. ("ACVF"), with 7,347,326 shares held by AVCP and 230,769 shares held by AVCF. Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP and AVCF, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP and AVCF. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP and AVCF, except to the extent of his pecuniary interest in such securities. Read SEC document |
| November 16, 2018 Filed Nov 16, 2018 23:29 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerStock Options (right to buy) · Derivative | 250,000 | Not disclosed Strike: $0.57 | Not disclosed |
DisclosureSEC source: 0000899243-18-029188 · doc4.xml · derivative · entry 8 DOCKERY CARL · CIK 0001618149 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 250,000 shares Expires 2028-11-08 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 23:29 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerStock Options (right to buy) · Derivative | 100,000 | Not disclosed Strike: $0.49 | Not disclosed |
DisclosureSEC source: 0000899243-18-029188 · doc4.xml · derivative · entry 7 DOCKERY CARL · CIK 0001618149 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires 2028-06-08 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). F5 · derivative.exercise_date: The options vest in four equal quarterly installments commencing on September 1, 2018. Read SEC document |
| November 16, 2018 Filed Nov 16, 2018 23:29 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerStock Options (right to buy) · Derivative | 136,563 | Not disclosed Strike: $0.56 | Not disclosed |
DisclosureSEC source: 0000899243-18-029188 · doc4.xml · derivative · entry 6 DOCKERY CARL · CIK 0001618149 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 136,563 shares Expires 2028-02-07 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 23:29 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerStock Options (right to buy) · Derivative | 75,000 | Not disclosed Strike: $0.57 | Not disclosed |
DisclosureSEC source: 0000899243-18-029188 · doc4.xml · derivative · entry 5 DOCKERY CARL · CIK 0001618149 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 75,000 shares Expires 2027-06-01 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 vest in four equal quarterly installments commencing on September 1, 2017. Read SEC document |
| November 16, 2018 Filed Nov 16, 2018 23:29 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerStock Options (right to buy) · Derivative | 50,000 | Not disclosed Strike: $1.09 | Not disclosed |
DisclosureSEC source: 0000899243-18-029188 · doc4.xml · derivative · entry 4 DOCKERY CARL · CIK 0001618149 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2026-06-01 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 23:29 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerStock Options (right to buy) · Derivative | 50,000 | Not disclosed Strike: $0.98 | Not disclosed |
DisclosureSEC source: 0000899243-18-029188 · doc4.xml · derivative · entry 3 DOCKERY CARL · CIK 0001618149 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2025-06-01 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 23:29 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerStock Options (right to buy) · Derivative | 33,973 | Not disclosed Strike: $0.81 | Not disclosed |
DisclosureSEC source: 0000899243-18-029188 · doc4.xml · derivative · entry 2 DOCKERY CARL · CIK 0001618149 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 33,973 shares Expires 2024-10-06 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 23:29 UTC | CytoDyn Inc. CYDY · Entity 5856 | Disposition to issuerCommon Stock | 7,578,095 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-029188 · doc4.xml · nonDerivative · entry 1 DOCKERY CARL · CIK 0001618149 · 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 Alpha Venture Capital Partners, L.P. ("AVCP") and Alpha Venture Capital Fund, L.P. ("ACVF"), with 7,347,326 shares held by AVCP and 230,769 shares held by AVCF. Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP and AVCF, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP and AVCF. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP and AVCF, except to the extent of his pecuniary interest in such securities. Read SEC document |
| November 16, 2018 Filed Nov 19, 2018 13:01 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantWarrants (right to buy) · Derivative | 250,000 | Not disclosed Strike: $0.50 | Not disclosed |
DisclosureSEC source: 0000899243-18-029255 · doc4.xml · derivative · entry 13 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 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 Alpha Venture Capital Partners, L.P. ("AVCP") and Alpha Venture Capital Fund, L.P. ("ACVF"), with 7,347,326 shares held by AVCP and 230,769 shares held by AVCF. Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP and AVCF, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP and AVCF. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP and AVCF, except to the extent of his pecuniary interest in such securities. 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: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-029255 · doc4.xml · derivative · entry 12 DOCKERY CARL · CIK 0001618149 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 66,667 Underlying: Common Stock · 66,667 shares Expires 2023-01-31 F1 · price: 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 Alpha Venture Capital Partners, L.P. ("AVCP") and Alpha Venture Capital Fund, L.P. ("ACVF"), with 7,347,326 shares held by AVCP and 230,769 shares held by AVCF. Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP and AVCF, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP and AVCF. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP and AVCF, except to the extent of his pecuniary interest in such securities. Read SEC document |
| November 16, 2018 Filed Nov 19, 2018 13:01 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantWarrants (right to buy) · Derivative | 33,333 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-029255 · doc4.xml · derivative · entry 11 DOCKERY CARL · CIK 0001618149 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 33,333 Underlying: Common Stock · 33,333 shares Expires 2022-07-28 F1 · price: 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 Alpha Venture Capital Partners, L.P. ("AVCP") and Alpha Venture Capital Fund, L.P. ("ACVF"), with 7,347,326 shares held by AVCP and 230,769 shares held by AVCF. Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP and AVCF, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP and AVCF. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP and AVCF, except to the extent of his pecuniary interest in such securities. 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: $0.68 | Not disclosed |
DisclosureSEC source: 0000899243-18-029255 · doc4.xml · derivative · entry 10 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 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 Alpha Venture Capital Partners, L.P. ("AVCP") and Alpha Venture Capital Fund, L.P. ("ACVF"), with 7,347,326 shares held by AVCP and 230,769 shares held by AVCF. Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP and AVCF, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP and AVCF. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP and AVCF, except to the extent of his pecuniary interest in such securities. Read SEC document |
| November 16, 2018 Filed Nov 19, 2018 13:01 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantWarrants (right to buy) · Derivative | 75,000 | Not disclosed Strike: $0.50 | Not disclosed |
DisclosureSEC source: 0000899243-18-029255 · doc4.xml · derivative · entry 9 DOCKERY CARL · CIK 0001618149 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2020-02-28 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 Alpha Venture Capital Partners, L.P. ("AVCP") and Alpha Venture Capital Fund, L.P. ("ACVF"), with 7,347,326 shares held by AVCP and 230,769 shares held by AVCF. Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP and AVCF, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP and AVCF. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP and AVCF, except to the extent of his pecuniary interest in such securities. Read SEC document |
| November 16, 2018 Filed Nov 19, 2018 13:01 UTC | CytoDyn Inc. CYDY · Entity 5856 | GrantStock Options (right to buy) · Derivative | 250,000 | Not disclosed Strike: $0.57 | Not disclosed |
DisclosureSEC source: 0000899243-18-029255 · doc4.xml · derivative · entry 8 DOCKERY CARL · CIK 0001618149 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2028-11-08 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.