DOCKERY CARL

SEC source: 0000899243-18-029255 · doc4.xml · derivative · entry 7

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

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 (including predecessor options) vest in four equal quarterly installments commencing on September 1, 2018.

SEC source: 0000899243-18-029255 · doc4.xml · derivative · entry 6

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,563

Underlying: Common Stock · 136,563 shares

Expires 2028-02-07

F1 · price: On 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).

SEC source: 0000899243-18-029255 · doc4.xml · derivative · entry 5

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2027-06-01

F1 · 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) vest in four equal quarterly installments commencing on September 1, 2017.

SEC source: 0000899243-18-029255 · doc4.xml · derivative · entry 4

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

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).

SEC source: 0000899243-18-029255 · doc4.xml · derivative · entry 3

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

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).

SEC source: 0000899243-18-029255 · doc4.xml · derivative · entry 2

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,973

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).

SEC source: 0000899243-18-029255 · doc4.xml · nonDerivative · entry 1

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 7,578,095

F1 · price: 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.

SEC source: 0000899243-18-028717 · doc4.xml · derivative · entry 1

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

SEC source: 0001213900-18-014580 · ownership.xml · nonDerivative · entry 1

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,663

F1 · price: These are restricted shares which vest on October 24, 2028, subject to earlier vesting in certain situations.

F2 · balance_after: Aggregate amount indicated reflects 20-for-1 reverse split and includes additional 2,663 post-split restricted shares previously issued.

SEC source: 0000899243-18-016227 · 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 2028-06-08

F1 · derivative.exercise_date: The options will vest in four equal quarterly installments commencing on September 1, 2018.

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

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,563

Underlying: Common Stock · 136,563 shares

Expires 2028-02-07

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

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

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 66,667

Underlying: Common Stock · 66,667 shares

Expires 2023-01-31

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

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

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

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 7,578,095

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

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

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

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 33,333

Underlying: Common Stock · 33,333 shares

Expires 2022-07-28

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

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

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

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 33,333 shares

Expires 2022-07-28

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

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

SEC source: 0001213900-17-011709 · f4110717dockery_aytubio.xml · nonDerivative · entry 1

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,115

F1 · shares: These are restricted shares that vest on November 7, 2027, subject to earlier vesting in certain situations.

F1 · price: These are restricted shares that vest on November 7, 2027, subject to earlier vesting in certain situations.

F2 · balance_after: Of these shares, 3,250 are restricted shares that vest on July 7, 2026, subject to earlier vesting in certain situations.

F3 · ownership.direct: Represents (i) 53,250 restricted shares directly owned by the Reporting Person; and (ii) 41,865 shares indirectly owned by Alpha Venture Capital Partners, L.P.

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

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 33,333

Underlying: Common Stock · 33,333 shares

Expires 2022-07-28

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

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

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

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

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 50,000

Underlying: Common Stock · 66,666 shares

Expires 2018-01-31

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

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

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

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

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

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2027-06-01

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

SEC source: 0001638599-17-000295 · doc4_4624.xml · derivative · entry 9

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,667

Underlying: Common Stock · 6,667 shares

Expires 2026-04-10

F4 · kind: These four transactions involved an amendment of the exercise price of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option.

F3 · derivative.exercise_date: 25% vests on September 30, 2016, December 31, 2016, March 31, 2017 and June 30, 2017, subject to the Grantee's continued service as an employee on such dates.

SEC source: 0001638599-17-000295 · doc4_4624.xml · derivative · entry 8

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,334

Underlying: Common Stock · 8,334 shares

Expires 2026-04-10

F4 · kind: These four transactions involved an amendment of the exercise price of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option.

SEC source: 0001638599-17-000295 · doc4_4624.xml · derivative · entry 7

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,667 shares

Expires 2026-04-10

F4 · kind: These four transactions involved an amendment of the exercise price of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option.

F3 · derivative.exercise_date: 25% vests on September 30, 2016, December 31, 2016, March 31, 2017 and June 30, 2017, subject to the Grantee's continued service as an employee on such dates.

SEC source: 0001638599-17-000295 · doc4_4624.xml · derivative · entry 6

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,334 shares

Expires 2026-04-10

F4 · kind: These four transactions involved an amendment of the exercise price of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option.

F2 · derivative.underlying_shares: These options are 100% vested.

SEC source: 0001638599-17-000233 · doc4_4574.xml · derivative · entry 3

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Alpha Venture Capital Partners, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 416,667 shares

Expires 2021-05-06

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

SEC source: 0001638599-17-000233 · doc4_4574.xml · nonDerivative · entry 1

DOCKERY CARL · CIK 0001618149 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Alpha Venture Capital Partners, L.P.

Disclosed balance after: 837,300

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.