person · Reporting owner

Welch David F

Disclosed activity across 3 companies

Tapewire entity: 82605
SEC CIK: 0001399122

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
CytoDyn Inc.CYDY · Entity 5856	Director	June 25, 2020	June 27, 2020
Rezolute, Inc.ANTB · Entity 1990	Director	March 08, 2017	March 15, 2017

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

CytoDyn Inc.

Report date June 25, 2020 · Filed June 27, 2020

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Non-qualified Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $6.15 · Expires 2030-06-25	Direct	225,000	Reported balance After 2020-06-25 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2020-06-25 · Grant · Acquired 225,000 · Balance 225,000 F1: 56,250 shares vest on August 31, 2020; the balance vests in equal amounts on November 30, 2020, February 28, 2021 and May 31, 2021, subject to amendment to the equity incentive plan.

Filing footnotes · ownership attribution and instrument terms

F1: 56,250 shares vest on August 31, 2020; the balance vests in equal amounts on November 30, 2020, February 28, 2021 and May 31, 2021, subject to amendment to the equity incentive plan.

Rezolute, Inc.

Report date March 08, 2017 · Filed March 15, 2017

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy LRFA	1,811,415	Last balance in matching sequence After 2017-03-10 transaction · row 5 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 3 · 2017-03-08 · Purchase · Acquired 5,000 · Balance 1,801,415 F2: The Reporting Person is President of LRFA, LLC and has voting and dispositive power of the shares of the Issuer's common stock owned by LRFA, LLC. Row 4 · 2017-03-09 · Purchase · Acquired 5,000 · Balance 1,806,415 F2: The Reporting Person is President of LRFA, LLC and has voting and dispositive power of the shares of the Issuer's common stock owned by LRFA, LLC. Row 5 · 2017-03-10 · Purchase · Acquired 5,000 · Balance 1,811,415 F2: The Reporting Person is President of LRFA, LLC and has voting and dispositive power of the shares of the Issuer's common stock owned by LRFA, LLC.
Common StockSEC Table I · non-derivative	IndirectBy Welch Group	28,100	Reported balance Holding disclosure · report date 2017-03-08 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 28,100 F1: The Reporting Person is General Partner of Welch Group, LP and has voting and dispositive power of the shares of the Issuer's common stock owned by Welch Group, LP.
Common StockSEC Table I · non-derivative	Direct	15,000	Reported balance Holding disclosure · report date 2017-03-08 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 15,000

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person is General Partner of Welch Group, LP and has voting and dispositive power of the shares of the Issuer's common stock owned by Welch Group, LP.

F2: The Reporting Person is President of LRFA, LLC and has voting and dispositive power of the shares of the Issuer's common stock owned by LRFA, LLC.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Infinera Corp

Report date February 28, 2025 · Filed March 03, 2025

Section 16 reporting ended · disclosed 2025-03-03. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	532,871	Reported balance After 2025-02-28 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2025-02-28 · Exercise / conversion · Acquired 100,001 · Balance 532,871 F1: Shares of Company common stock reported are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which the Reporting Person is a trustee.
Common StockSEC Table I · non-derivative	IndirectSee Footnote	0	Reported balance After 2025-02-28 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2025-02-28 · Disposition to issuer · Disposed 532,871 · Balance 0 F2: Disposed of as a result of the merger pursuant to the previously announced Agreement and Plan of Merger, dated as of June 27, 2024, by and among Nokia Corporation, Neptune of America Corporation and Infinera Corporation ("Company"), referred to as the "Merger Agreement". F3: Each share of Company common stock held by the Reporting Person was automatically cancelled, extinguished and converted into the right to receive the consideration provided in the Merger Agreement. F1: Shares of Company common stock reported are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which the Reporting Person is a trustee.
Common StockSEC Table I · non-derivative	IndirectSee Footnote	0	Reported balance After 2025-02-28 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2025-02-28 · Disposition to issuer · Disposed 2,500 · Balance 0 F2: Disposed of as a result of the merger pursuant to the previously announced Agreement and Plan of Merger, dated as of June 27, 2024, by and among Nokia Corporation, Neptune of America Corporation and Infinera Corporation ("Company"), referred to as the "Merger Agreement". F3: Each share of Company common stock held by the Reporting Person was automatically cancelled, extinguished and converted into the right to receive the consideration provided in the Merger Agreement. F4: Shares of Company common stock held directly by the Reporting Person as a trustee for his children. The Reporting Person disclaims beneficial ownership of the shares held in trust for his children, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares held in trust for his children for purposes of Section 16 or for any other purpose.
Restricted Stock UnitsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2025-02-28 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2025-02-28 · Exercise / conversion · Disposed 100,001 · Balance 0 F5: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Company common stock. F6: Includes shares of Company common stock underlying previously reported unvested RSUs which immediately prior to the Effective Time (as defined in the Merger Agreement) of the merger fully vested and converted automatically into the right to receive the consideration provided in the Merger Agreement.

Filing footnotes · ownership attribution and instrument terms

F1: Shares of Company common stock reported are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which the Reporting Person is a trustee.

F2: Disposed of as a result of the merger pursuant to the previously announced Agreement and Plan of Merger, dated as of June 27, 2024, by and among Nokia Corporation, Neptune of America Corporation and Infinera Corporation ("Company"), referred to as the "Merger Agreement".

F3: Each share of Company common stock held by the Reporting Person was automatically cancelled, extinguished and converted into the right to receive the consideration provided in the Merger Agreement.

F4: Shares of Company common stock held directly by the Reporting Person as a trustee for his children. The Reporting Person disclaims beneficial ownership of the shares held in trust for his children, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares held in trust for his children for purposes of Section 16 or for any other purpose.

F5: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Company common stock.

F6: Includes shares of Company common stock underlying previously reported unvested RSUs which immediately prior to the Effective Time (as defined in the Merger Agreement) of the merger fully vested and converted automatically into the right to receive the consideration provided in the Merger Agreement.

Transaction history

JSON API

Purchases/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
November 23, 2020 Filed Nov 25, 2020 17:11 UTC	Infinera Corp INFN · Entity 82602	SaleCommon Stock	20,000	$8.03	$160,526.00	Disclosure SEC source: 0001138639-20-000163 · wf-form4_160634224944676.xml · nonDerivative · entry 2 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 37,293 F1 · price: This price represents the weighted average sale price of the shares sold in multiple transactions at prices ranging from $8.00 to $8.10 per share. Upon request by the staff of the Securities and Exchange Commission, the Company or a security holder of the Company, Dr. Welch will provide full information regarding the number of shares sold at each separate price. The shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person. F3 · ownership.nature: These shares are held directly by LRFA, LLC, for which Dr. Welch is the sole managing member. Read SEC document
November 23, 2020 Filed Nov 25, 2020 17:11 UTC	Infinera Corp INFN · Entity 82602	SaleCommon Stock	75,000	$8.02	$601,830.00	Disclosure SEC source: 0001138639-20-000163 · wf-form4_160634224944676.xml · nonDerivative · entry 1 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,391,451 F1 · price: This price represents the weighted average sale price of the shares sold in multiple transactions at prices ranging from $8.00 to $8.10 per share. Upon request by the staff of the Securities and Exchange Commission, the Company or a security holder of the Company, Dr. Welch will provide full information regarding the number of shares sold at each separate price. The shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person. F2 · ownership.nature: These shares are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which Dr. Welch is a trustee. Read SEC document
August 17, 2020 Filed Aug 19, 2020 19:43 UTC	Infinera Corp INFN · Entity 82602	SaleCommon Stock	10,000	$8.38	$83,759.00	Disclosure SEC source: 0001138639-20-000139 · wf-form4_159788061457972.xml · nonDerivative · entry 2 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 57,293 F2 · price: This price represents the weighted average sale price of the shares sold in multiple transactions at prices ranging from $8.33 to $8.39 per share. Upon request by the staff of the Securities and Exchange Commission, the Company or a security holder of the Company, Mr. Welch will provide full information regarding the number of shares sold at each separate price. The shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person. F3 · ownership.nature: These shares are held directly by LRFA, LLC, for which Dr. Welch is the sole managing member. Read SEC document
August 10, 2020 Filed Aug 12, 2020 19:29 UTC	Infinera Corp INFN · Entity 82602	SaleCommon Stock	50,000	$8.16	$408,010.00	Disclosure SEC source: 0001138639-20-000136 · wf-form4_159727493179328.xml · nonDerivative · entry 2 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 67,293 F3 · price: This price represents the weighted average sale price of the shares sold in multiple transactions at prices ranging from $8.00 to $8.40 per share. Upon request by the staff of the Securities and Exchange Commission, the Company or a security holder of the Company, Mr. Welch will provide full information regarding the number of shares sold at each separate price. F4 · ownership.nature: These shares are held directly by LRFA, LLC, for which Dr. Welch is the sole managing member. Read SEC document
August 10, 2020 Filed Aug 12, 2020 19:29 UTC	Infinera Corp INFN · Entity 82602	SaleCommon Stock	125,000	$8.07	$1,008,212.50	Disclosure SEC source: 0001138639-20-000136 · wf-form4_159727493179328.xml · nonDerivative · entry 1 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,466,451 F1 · price: This price represents the weighted average sale price of the shares sold in multiple transactions at prices ranging from $8.00 to $8.40 per share. Upon request by the staff of the Securities and Exchange Commission, Infinera Corporation (the "Company") or a security holder of the Company, Mr. Welch will provide full information regarding the number of shares sold at each separate price. The shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person. F2 · ownership.nature: These shares are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which Dr. Welch is a trustee. Read SEC document
August 10, 2020 Filed Dec 23, 2020 19:12 UTC Amendment	Infinera Corp INFN · Entity 82602	SaleCommon Stock	125,000	$8.07	$1,008,212.50	Disclosure SEC source: 0001138639-20-000195 · wf-form4a_160876870632093.xml · nonDerivative · entry 1 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,466,451 F1 · security: This amendment is being filed solely to include a power of attorney as Exhibit 24. F2 · price: This price represents the weighted average sale price of the shares sold in multiple transactions at prices ranging from $8.00 to $8.40 per share. Upon request by the staff of the Securities and Exchange Commission, Infinera Corporation (the "Company") or a security holder of the Company, Mr. Welch will provide full information regarding the number of shares sold at each separate price. The shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person. F3 · ownership.nature: These shares are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which Dr. Welch is a trustee. Read SEC document
June 25, 2020 Filed Jun 27, 2020 01:54 UTC	CytoDyn Inc. CYDY · Entity 5856	GrantNon-qualified Stock Option · Derivative	225,000	$0.00 Strike: $6.15	$0.00	Disclosure SEC source: 0001807094-20-000013 · primary_doc.xml · derivative · entry 1 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,000 Underlying: Common Stock · 225,000 shares Expires 2030-06-25 F1 · derivative.exercise_date: 56,250 shares vest on August 31, 2020; the balance vests in equal amounts on November 30, 2020, February 28, 2021 and May 31, 2021, subject to amendment to the equity incentive plan. Read SEC document
May 05, 2020 Filed May 7, 2020 18:30 UTC	Infinera Corp INFN · Entity 82602	Exercise / conversionRestricted Stock Units · Derivative	13,094	$0.00	$0.00	Disclosure SEC source: 0001138639-20-000053 · wf-form4_158889061799782.xml · derivative · entry 24 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,094 shares Expires not disclosed 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. F5 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation (the "Company"). F11 · derivative.exercise_date: On February 15, 2018, Mr. Welch was granted a PSU award for a target number of 45,833 shares of common stock that could become eligible to vest in three equal separate installments, subject to the achievement of certain performance criteria in each of the three different performance periods. The shares are eligible to vest based on the TSR performance of the Company in each performance period relative to that of the companies that comprise the S&P Networking Index. The performance objective related to this award was partially achieved for the second performance period, as determined by the compensation committee per the terms of the original grant. As a result, 13,094 shares of common stock underlying this award vested on May 5, 2020, subject to Mr. Welch's continuous status as a service provider through such date. F11 · derivative.expiration_date: On February 15, 2018, Mr. Welch was granted a PSU award for a target number of 45,833 shares of common stock that could become eligible to vest in three equal separate installments, subject to the achievement of certain performance criteria in each of the three different performance periods. The shares are eligible to vest based on the TSR performance of the Company in each performance period relative to that of the companies that comprise the S&P Networking Index. The performance objective related to this award was partially achieved for the second performance period, as determined by the compensation committee per the terms of the original grant. As a result, 13,094 shares of common stock underlying this award vested on May 5, 2020, subject to Mr. Welch's continuous status as a service provider through such date. Read SEC document
May 05, 2020 Filed May 7, 2020 18:30 UTC	Infinera Corp INFN · Entity 82602	Exercise / conversionRestricted Stock Units · Derivative	30,217	$0.00	$0.00	Disclosure SEC source: 0001138639-20-000053 · wf-form4_158889061799782.xml · derivative · entry 23 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,217 shares Expires not disclosed 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. F5 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation (the "Company"). F10 · derivative.exercise_date: On February 21, 2017, Mr. Welch was granted a performance share unit ("PSU") award for a target number of 172,247 shares of common stock that could become eligible to vest in three equal separate installments, subject to the achievement of certain performance criteria in each of the three different performance periods. The shares are eligible to vest based on the total stockholder return ("TSR") performance of the Company in each performance period relative to that of the companies that comprise S&P North American Technology Multimedia Networking Index (the "S&P Networking Index"). The performance objective related to this award was partially achieved for the third and final performance period, as determined by the compensation committee per the terms of the original grant. As a result, 30,217 shares of common stock underlying this award vested on May 5, 2020, subject to Mr. Welch's continuous status as a service provider through such date. F10 · derivative.expiration_date: On February 21, 2017, Mr. Welch was granted a performance share unit ("PSU") award for a target number of 172,247 shares of common stock that could become eligible to vest in three equal separate installments, subject to the achievement of certain performance criteria in each of the three different performance periods. The shares are eligible to vest based on the total stockholder return ("TSR") performance of the Company in each performance period relative to that of the companies that comprise S&P North American Technology Multimedia Networking Index (the "S&P Networking Index"). The performance objective related to this award was partially achieved for the third and final performance period, as determined by the compensation committee per the terms of the original grant. As a result, 30,217 shares of common stock underlying this award vested on May 5, 2020, subject to Mr. Welch's continuous status as a service provider through such date. Read SEC document
May 05, 2020 Filed May 7, 2020 18:30 UTC	Infinera Corp INFN · Entity 82602	Exercise / conversionRestricted Stock Units · Derivative	17,188	$0.00	$0.00	Disclosure SEC source: 0001138639-20-000053 · wf-form4_158889061799782.xml · derivative · entry 22 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,374 Underlying: Common Stock · 17,188 shares Expires not disclosed 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. F5 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation (the "Company"). F9 · derivative.exercise_date: These RSUs vest in three annual installments beginning on May 5, 2019, subject to Mr. Welch's continued service to the Company through each applicable vesting date. F9 · derivative.expiration_date: These RSUs vest in three annual installments beginning on May 5, 2019, subject to Mr. Welch's continued service to the Company through each applicable vesting date. Read SEC document
May 05, 2020 Filed May 7, 2020 18:30 UTC	Infinera Corp INFN · Entity 82602	Exercise / conversionRestricted Stock Units · Derivative	28,708	$0.00	$0.00	Disclosure SEC source: 0001138639-20-000053 · wf-form4_158889061799782.xml · derivative · entry 21 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,707 Underlying: Common Stock · 28,708 shares Expires not disclosed 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. F5 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation (the "Company"). F8 · derivative.exercise_date: These RSUs vest in four annual installments beginning on May 5, 2018, subject to Mr. Welch's continued service to the Company through each applicable vesting date. F8 · derivative.expiration_date: These RSUs vest in four annual installments beginning on May 5, 2018, subject to Mr. Welch's continued service to the Company through each applicable vesting date. Read SEC document
May 05, 2020 Filed May 7, 2020 18:30 UTC	Infinera Corp INFN · Entity 82602	Exercise / conversionRestricted Stock Units · Derivative	21,712	$0.00	$0.00	Disclosure SEC source: 0001138639-20-000053 · wf-form4_158889061799782.xml · derivative · entry 20 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 21,712 shares Expires not disclosed 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. F5 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation (the "Company"). F7 · derivative.exercise_date: These RSUs vest in four annual installments beginning on May 5, 2017, subject to Mr. Welch's continued service to the Company through each applicable vesting date. F7 · derivative.expiration_date: These RSUs vest in four annual installments beginning on May 5, 2017, subject to Mr. Welch's continued service to the Company through each applicable vesting date. Read SEC document
May 05, 2020 Filed May 7, 2020 18:30 UTC	Infinera Corp INFN · Entity 82602	Exercise / conversionRestricted Stock Units · Derivative	33,334	$0.00	$0.00	Disclosure SEC source: 0001138639-20-000053 · wf-form4_158889061799782.xml · derivative · entry 19 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,666 Underlying: Common Stock · 33,334 shares Expires not disclosed 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. F5 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation (the "Company"). F6 · derivative.exercise_date: These RSUs vest in three annual installments beginning on May 5, 2020, subject to Mr. Welch's continued service to the Company through each applicable vesting date. F6 · derivative.expiration_date: These RSUs vest in three annual installments beginning on May 5, 2020, subject to Mr. Welch's continued service to the Company through each applicable vesting date. Read SEC document
May 05, 2020 Filed May 7, 2020 18:30 UTC	Infinera Corp INFN · Entity 82602	Tax withholdingCommon Stock	13,734	$0.00	$0.00	Disclosure SEC source: 0001138639-20-000053 · wf-form4_158889061799782.xml · nonDerivative · entry 12 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,591,451 F1 · ownership.nature: These shares are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which Dr. Welch is a trustee. Read SEC document
May 05, 2020 Filed May 7, 2020 18:30 UTC	Infinera Corp INFN · Entity 82602	Exercise / conversionCommon Stock	33,334	$0.00	$0.00	Disclosure SEC source: 0001138639-20-000053 · wf-form4_158889061799782.xml · nonDerivative · entry 11 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,605,185 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: These shares are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which Dr. Welch is a trustee. Read SEC document
May 05, 2020 Filed May 7, 2020 18:30 UTC	Infinera Corp INFN · Entity 82602	Tax withholdingCommon Stock	10,450	$0.00	$0.00	Disclosure SEC source: 0001138639-20-000053 · wf-form4_158889061799782.xml · nonDerivative · entry 10 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,571,851 F1 · ownership.nature: These shares are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which Dr. Welch is a trustee. Read SEC document
May 05, 2020 Filed May 7, 2020 18:30 UTC	Infinera Corp INFN · Entity 82602	Exercise / conversionCommon Stock	30,217	$0.00	$0.00	Disclosure SEC source: 0001138639-20-000053 · wf-form4_158889061799782.xml · nonDerivative · entry 9 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,582,301 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: These shares are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which Dr. Welch is a trustee. Read SEC document
May 05, 2020 Filed May 7, 2020 18:30 UTC	Infinera Corp INFN · Entity 82602	Tax withholdingCommon Stock	9,928	$0.00	$0.00	Disclosure SEC source: 0001138639-20-000053 · wf-form4_158889061799782.xml · nonDerivative · entry 8 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,552,084 F1 · ownership.nature: These shares are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which Dr. Welch is a trustee. Read SEC document
May 05, 2020 Filed May 7, 2020 18:30 UTC	Infinera Corp INFN · Entity 82602	Exercise / conversionCommon Stock	28,708	$0.00	$0.00	Disclosure SEC source: 0001138639-20-000053 · wf-form4_158889061799782.xml · nonDerivative · entry 7 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,562,012 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: These shares are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which Dr. Welch is a trustee. Read SEC document
May 05, 2020 Filed May 7, 2020 18:30 UTC	Infinera Corp INFN · Entity 82602	Tax withholdingCommon Stock	7,509	$0.00	$0.00	Disclosure SEC source: 0001138639-20-000053 · wf-form4_158889061799782.xml · nonDerivative · entry 6 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,533,304 F1 · ownership.nature: These shares are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which Dr. Welch is a trustee. Read SEC document
May 05, 2020 Filed May 7, 2020 18:30 UTC	Infinera Corp INFN · Entity 82602	Exercise / conversionCommon Stock	21,712	$0.00	$0.00	Disclosure SEC source: 0001138639-20-000053 · wf-form4_158889061799782.xml · nonDerivative · entry 5 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,540,813 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: These shares are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which Dr. Welch is a trustee. Read SEC document
May 05, 2020 Filed May 7, 2020 18:30 UTC	Infinera Corp INFN · Entity 82602	Tax withholdingCommon Stock	5,944	$0.00	$0.00	Disclosure SEC source: 0001138639-20-000053 · wf-form4_158889061799782.xml · nonDerivative · entry 4 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,519,101 F1 · ownership.nature: These shares are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which Dr. Welch is a trustee. Read SEC document
May 05, 2020 Filed May 7, 2020 18:30 UTC	Infinera Corp INFN · Entity 82602	Exercise / conversionCommon Stock	17,188	$0.00	$0.00	Disclosure SEC source: 0001138639-20-000053 · wf-form4_158889061799782.xml · nonDerivative · entry 3 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,525,045 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: These shares are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which Dr. Welch is a trustee. Read SEC document
May 05, 2020 Filed May 7, 2020 18:30 UTC	Infinera Corp INFN · Entity 82602	Tax withholdingCommon Stock	4,528	$0.00	$0.00	Disclosure SEC source: 0001138639-20-000053 · wf-form4_158889061799782.xml · nonDerivative · entry 2 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,507,857 F1 · ownership.nature: These shares are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which Dr. Welch is a trustee. Read SEC document
May 05, 2020 Filed May 7, 2020 18:30 UTC	Infinera Corp INFN · Entity 82602	Exercise / conversionCommon Stock	13,094	$0.00	$0.00	Disclosure SEC source: 0001138639-20-000053 · wf-form4_158889061799782.xml · nonDerivative · entry 1 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,512,385 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: These shares are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which Dr. Welch is a trustee. Read SEC document
April 01, 2020 Filed Jun 8, 2020 23:24 UTC	CytoDyn Inc. CYDY · Entity 5856	Exercise / conversionConvertible Promissory Note · Derivative	1,129,551	Not disclosed Strike: $0.50	Not disclosed	Disclosure SEC source: 0001807094-20-000008 · primary_doc.xml · derivative · entry 10 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 0 Underlying: Common Stock · 2,259,102 shares Expires 2020-04-01 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. F4 · price: Converted amount includes accrued but unpaid interest through the date of the conversion. F1 · ownership.nature: The reported securities of the Issuer are held by LRFA, LLC, a Delaware limited liability company ("LRFA"), wholly owned and managed by the reporting person. Read SEC document
April 01, 2020 Filed Jun 8, 2020 23:24 UTC	CytoDyn Inc. CYDY · Entity 5856	Exercise / conversionCommon Stock	2,259,102	$0.50	$1,129,551.00	Disclosure SEC source: 0001807094-20-000008 · primary_doc.xml · nonDerivative · entry 3 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 9,513,417 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: The reported securities of the Issuer are held by LRFA, LLC, a Delaware limited liability company ("LRFA"), wholly owned and managed by the reporting person. Read SEC document
March 04, 2020 Filed Mar 6, 2020 21:30 UTC	Infinera Corp INFN · Entity 82602	GrantRestricted Stock Units · Derivative	75,000	$0.00	$0.00	Disclosure SEC source: 0001138639-20-000036 · wf-form4_158354821165733.xml · derivative · entry 14 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation (the "Company"). F12 · derivative.exercise_date: These RSUs vest as to one-third of the shares on the one year anniversary of the vesting commencement date, which is March 5, 2020, and 1/12th quarterly thereafter, subject to Mr. Welch's continued service to the Company through each applicable vesting date. F12 · derivative.expiration_date: These RSUs vest as to one-third of the shares on the one year anniversary of the vesting commencement date, which is March 5, 2020, and 1/12th quarterly thereafter, subject to Mr. Welch's continued service to the Company through each applicable vesting date. Read SEC document
February 21, 2020 Filed Jun 8, 2020 23:24 UTC	CytoDyn Inc. CYDY · Entity 5856	Exercise / conversionWarrant (Right to BuyO · Derivative	1,819,672	$0.00 Strike: $0.18	$0.00	Disclosure SEC source: 0001807094-20-000008 · primary_doc.xml · derivative · entry 9 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 0 Underlying: Common Stock · 1,819,672 shares Expires 2020-02-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: The reported securities of the Issuer are held by LRFA, LLC, a Delaware limited liability company ("LRFA"), wholly owned and managed by the reporting person. Read SEC document
February 21, 2020 Filed Jun 8, 2020 23:24 UTC	CytoDyn Inc. CYDY · Entity 5856	GrantWarrant (Right to Buy) · Derivative	819,672	Not disclosed Strike: $0.18	Not disclosed	Disclosure SEC source: 0001807094-20-000008 · primary_doc.xml · derivative · entry 8 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 819,672 Underlying: Common Stock · 819,672 shares Expires 2020-02-25 F3 · price: On February 20, 2020, as an inducement to exercise, the Issuer and LRFA agreed to amend two warrants held by LRFA (the "Warrants") to purchase a total of 1,819,672 shares of the Issuer's stock, par value $0.001 per share ("Common Stock"), pursuant to which the exercise price of the Warrants was reduced to 60% of the original exercise price. In connection with the amendment, the Issuer issued to LRFA an additional 181,967 shares of Common Stock. F1 · ownership.nature: The reported securities of the Issuer are held by LRFA, LLC, a Delaware limited liability company ("LRFA"), wholly owned and managed by the reporting person. Read SEC document
February 21, 2020 Filed Jun 8, 2020 23:24 UTC	CytoDyn Inc. CYDY · Entity 5856	Disposition to issuerWarrant (Right to Buy) · Derivative	819,672	Not disclosed Strike: $0.30	Not disclosed	Disclosure SEC source: 0001807094-20-000008 · primary_doc.xml · derivative · entry 7 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 0 Underlying: Common Stock · 819,672 shares Expires 2024-12-23 F3 · price: On February 20, 2020, as an inducement to exercise, the Issuer and LRFA agreed to amend two warrants held by LRFA (the "Warrants") to purchase a total of 1,819,672 shares of the Issuer's stock, par value $0.001 per share ("Common Stock"), pursuant to which the exercise price of the Warrants was reduced to 60% of the original exercise price. In connection with the amendment, the Issuer issued to LRFA an additional 181,967 shares of Common Stock. F1 · ownership.nature: The reported securities of the Issuer are held by LRFA, LLC, a Delaware limited liability company ("LRFA"), wholly owned and managed by the reporting person. Read SEC document
February 21, 2020 Filed Jun 8, 2020 23:24 UTC	CytoDyn Inc. CYDY · Entity 5856	GrantWarrant (Right to Buy) · Derivative	1,000,000	Not disclosed Strike: $0.18	Not disclosed	Disclosure SEC source: 0001807094-20-000008 · primary_doc.xml · derivative · entry 6 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 1,000,000 Underlying: Common Stock · 1,000,000 shares Expires 2020-02-25 F3 · price: On February 20, 2020, as an inducement to exercise, the Issuer and LRFA agreed to amend two warrants held by LRFA (the "Warrants") to purchase a total of 1,819,672 shares of the Issuer's stock, par value $0.001 per share ("Common Stock"), pursuant to which the exercise price of the Warrants was reduced to 60% of the original exercise price. In connection with the amendment, the Issuer issued to LRFA an additional 181,967 shares of Common Stock. F1 · ownership.nature: The reported securities of the Issuer are held by LRFA, LLC, a Delaware limited liability company ("LRFA"), wholly owned and managed by the reporting person. Read SEC document
February 21, 2020 Filed Jun 8, 2020 23:24 UTC	CytoDyn Inc. CYDY · Entity 5856	Disposition to issuerWarrant (Right to Buy) · Derivative	1,000,000	Not disclosed Strike: $0.30	Not disclosed	Disclosure SEC source: 0001807094-20-000008 · primary_doc.xml · derivative · entry 5 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 0 Underlying: Common Stock · 1,000,000 shares Expires 2024-09-30 F3 · price: On February 20, 2020, as an inducement to exercise, the Issuer and LRFA agreed to amend two warrants held by LRFA (the "Warrants") to purchase a total of 1,819,672 shares of the Issuer's stock, par value $0.001 per share ("Common Stock"), pursuant to which the exercise price of the Warrants was reduced to 60% of the original exercise price. In connection with the amendment, the Issuer issued to LRFA an additional 181,967 shares of Common Stock. F1 · ownership.nature: The reported securities of the Issuer are held by LRFA, LLC, a Delaware limited liability company ("LRFA"), wholly owned and managed by the reporting person. Read SEC document
February 21, 2020 Filed Jun 8, 2020 23:24 UTC	CytoDyn Inc. CYDY · Entity 5856	GrantCommon Stock	181,967	Not disclosed	Not disclosed	Disclosure SEC source: 0001807094-20-000008 · primary_doc.xml · nonDerivative · entry 2 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 7,254,315 F3 · price: On February 20, 2020, as an inducement to exercise, the Issuer and LRFA agreed to amend two warrants held by LRFA (the "Warrants") to purchase a total of 1,819,672 shares of the Issuer's stock, par value $0.001 per share ("Common Stock"), pursuant to which the exercise price of the Warrants was reduced to 60% of the original exercise price. In connection with the amendment, the Issuer issued to LRFA an additional 181,967 shares of Common Stock. F1 · ownership.nature: The reported securities of the Issuer are held by LRFA, LLC, a Delaware limited liability company ("LRFA"), wholly owned and managed by the reporting person. Read SEC document
February 21, 2020 Filed Jun 8, 2020 23:24 UTC	CytoDyn Inc. CYDY · Entity 5856	Exercise / conversionCommon Stock	1,819,672	$0.18	$327,540.96	Disclosure SEC source: 0001807094-20-000008 · primary_doc.xml · nonDerivative · entry 1 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 7,072,348 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: The reported securities of the Issuer are held by LRFA, LLC, a Delaware limited liability company ("LRFA"), wholly owned and managed by the reporting person. Read SEC document
February 07, 2020 Filed Feb 11, 2020 19:33 UTC	Infinera Corp INFN · Entity 82602	GrantRestricted Stock Units · Derivative	13,094	$0.00	$0.00	Disclosure SEC source: 0001138639-20-000016 · wf-form4_158146756973693.xml · derivative · entry 13 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,094 Underlying: Common Stock · 13,094 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation (the "Company"). F11 · derivative.exercise_date: On February 15, 2018, Mr. Welch was granted a PSU award for a target number of 45,833 shares of common stock that could become eligible to vest in three equal separate installments, subject to the achievement of certain performance criteria in each of the three different performance periods. The shares are eligible to vest based on the TSR performance of the Company in each performance period relative to that of the companies that comprise the S&P Networking Index. The performance objective related to this award was partially achieved for the second performance period, as determined by the compensation committee per the terms of the original grant. As a result, 13,094 shares of common stock underlying this award will vest on May 5, 2020, subject to Mr. Welch's continuous status as a service provider through such date. F11 · derivative.expiration_date: On February 15, 2018, Mr. Welch was granted a PSU award for a target number of 45,833 shares of common stock that could become eligible to vest in three equal separate installments, subject to the achievement of certain performance criteria in each of the three different performance periods. The shares are eligible to vest based on the TSR performance of the Company in each performance period relative to that of the companies that comprise the S&P Networking Index. The performance objective related to this award was partially achieved for the second performance period, as determined by the compensation committee per the terms of the original grant. As a result, 13,094 shares of common stock underlying this award will vest on May 5, 2020, subject to Mr. Welch's continuous status as a service provider through such date. Read SEC document
February 07, 2020 Filed Feb 11, 2020 19:33 UTC	Infinera Corp INFN · Entity 82602	GrantRestricted Stock Units · Derivative	30,217	$0.00	$0.00	Disclosure SEC source: 0001138639-20-000016 · wf-form4_158146756973693.xml · derivative · entry 12 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,217 Underlying: Common Stock · 30,217 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation (the "Company"). F10 · derivative.exercise_date: On February 21, 2017, Mr. Welch was granted a performance share unit ("PSU") award for a target number of 172,247 shares of common stock that could become eligible to vest in three equal separate installments, subject to the achievement of certain performance criteria in each of the three different performance periods. The shares are eligible to vest based on the total stockholder return ("TSR") performance of the Company in each performance period relative to that of the companies that comprise S&P North American Technology Multimedia Networking Index (the "S&P Networking Index"). The performance objective related to this award was partially achieved for the third and final performance period, as determined by the compensation committee per the terms of the original grant. As a result, 30,217 shares of common stock underlying this award will vest on May 5, 2020, subject to Mr. Welch's continuous status as a service provider through such date. F10 · derivative.expiration_date: On February 21, 2017, Mr. Welch was granted a performance share unit ("PSU") award for a target number of 172,247 shares of common stock that could become eligible to vest in three equal separate installments, subject to the achievement of certain performance criteria in each of the three different performance periods. The shares are eligible to vest based on the total stockholder return ("TSR") performance of the Company in each performance period relative to that of the companies that comprise S&P North American Technology Multimedia Networking Index (the "S&P Networking Index"). The performance objective related to this award was partially achieved for the third and final performance period, as determined by the compensation committee per the terms of the original grant. As a result, 30,217 shares of common stock underlying this award will vest on May 5, 2020, subject to Mr. Welch's continuous status as a service provider through such date. Read SEC document
January 31, 2020 Filed Feb 5, 2020 02:16 UTC	CytoDyn Inc. CYDY · Entity 5856	PurchaseWarrants · Derivative	500,000	Not disclosed Strike: $1.00	Not disclosed	Disclosure SEC source: 0001754249-20-000001 · primary_doc.xml · derivative · entry 2 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 500,000 Underlying: Common Stock · 500,000 shares Expires 2025-01-31 F3 · price: The reporting person purchased units, each consisting of 1 share of preferred stock and warrants to purchase 500 shares of common stock, at a purchase price of $1,000 for each unit. F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein. Read SEC document
January 31, 2020 Filed Feb 5, 2020 02:16 UTC	CytoDyn Inc. CYDY · Entity 5856	PurchaseSeries D Convertible Preferred Stock · Derivative	1,000	$1,000.00 Strike: $0.80	$1,000,000.00	Disclosure SEC source: 0001754249-20-000001 · primary_doc.xml · derivative · entry 1 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,000 Underlying: Common Stock · 1,250,000 shares Expires not disclosed F2 · derivative.expiration_date: The preferred stock has no expiration date. F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein. Read SEC document
December 23, 2019 Filed Dec 28, 2019 02:34 UTC	CytoDyn Inc. CYDY · Entity 5856	GrantWarrants (right to buy) · Derivative	819,672	Not disclosed Strike: $0.30	Not disclosed	Disclosure SEC source: 0000899243-19-030141 · doc4.xml · derivative · entry 3 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 819,672 Underlying: Common Stock · 819,672 shares Expires 2024-12-23 F3 · price: The reported securities were purchased together, as part of a registered direct offering, at a combined price of $0.305 per share of common stock and related warrants. F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein. Read SEC document
December 23, 2019 Filed Dec 28, 2019 02:34 UTC	CytoDyn Inc. CYDY · Entity 5856	GrantCommon Stock	1,639,344	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-19-030141 · doc4.xml · nonDerivative · entry 1 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 5,252,676 F3 · price: The reported securities were purchased together, as part of a registered direct offering, at a combined price of $0.305 per share of common stock and related warrants. F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein. Read SEC document
December 19, 2019 Filed Dec 24, 2019 00:04 UTC	CytoDyn Inc. CYDY · Entity 5856	GrantStock Option (right to buy) · Derivative	750,000	$0.00 Strike: $0.63	$0.00	Disclosure SEC source: 0000899243-19-029998 · doc4.xml · derivative · entry 1 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 750,000 Underlying: Common Stock · 750,000 shares Expires 2029-12-19 Read SEC document
October 07, 2019 Filed Oct 8, 2019 23:10 UTC	CytoDyn Inc. CYDY · Entity 5856	GrantStock Options (right to buy) · Derivative	187,500	$0.00 Strike: $0.39	$0.00	Disclosure SEC source: 0000899243-19-025318 · doc4.xml · derivative · entry 1 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,500 Underlying: Common Stock · 187,500 shares Expires 2029-10-07 F1 · derivative.exercise_date: The options will vest in four equal quarterly installments over the one year period commencing on January 7, 2020. Read SEC document
October 07, 2019 Filed Oct 11, 2019 01:43 UTC Amendment	CytoDyn Inc. CYDY · Entity 5856	GrantStock Options (right to buy) · Derivative	187,500	$0.00 Strike: $0.39	$0.00	Disclosure SEC source: 0000899243-19-025492 · doc4a.xml · derivative · entry 1 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,500 Underlying: Common Stock · 187,500 shares Expires 2029-10-07 F1 · shares: This report is being filed to correct an inadvertent error, to report the options issued October 7, 2019 as acquired (and not disposed of) in the transaction, in Column 5. F2 · derivative.exercise_date: The options will vest in four equal quarterly installments over the one year period commencing on January 7, 2020. Read SEC document
September 30, 2019 Filed Jan 9, 2020 01:32 UTC	CytoDyn Inc. CYDY · Entity 5856	GrantWarrant (Right to Buy) · Derivative	1,000,000	Not disclosed Strike: $0.30	Not disclosed	Disclosure SEC source: 0000899243-20-000853 · doc4.xml · derivative · entry 3 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,000,000 Underlying: Common Stock · 1,000,000 shares Expires 2024-09-30 F2 · price: The Company recently completed a convertible promissory note exchange offer in which LRFA participated, among other non-affiliated investors. Pursuant to the exchange offer, as an inducement to extend the maturity date of a certain convertible promissory note (the "Original Note") beneficially owned by Dr. Welch, the Company (i) issued a new convertible promissory note (the "Exchange Note") in the principal amount equal to the principal amount of the Original Note plus the accrued but unpaid interest thereon and (ii) issued a warrant to purchase shares of common stock covering fifty percent of the shares of common stock into which the principal amount of the Original Note was convertible. F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein. Read SEC document
September 30, 2019 Filed Jan 9, 2020 01:32 UTC	CytoDyn Inc. CYDY · Entity 5856	GrantConvertible Promissory Note · Derivative	1,075,343	Not disclosed Strike: $0.50	Not disclosed	Disclosure SEC source: 0000899243-20-000853 · doc4.xml · derivative · entry 2 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 2,150,686 shares Expires 2020-04-01 F2 · price: The Company recently completed a convertible promissory note exchange offer in which LRFA participated, among other non-affiliated investors. Pursuant to the exchange offer, as an inducement to extend the maturity date of a certain convertible promissory note (the "Original Note") beneficially owned by Dr. Welch, the Company (i) issued a new convertible promissory note (the "Exchange Note") in the principal amount equal to the principal amount of the Original Note plus the accrued but unpaid interest thereon and (ii) issued a warrant to purchase shares of common stock covering fifty percent of the shares of common stock into which the principal amount of the Original Note was convertible. F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein. Read SEC document
September 30, 2019 Filed Jan 9, 2020 01:32 UTC	CytoDyn Inc. CYDY · Entity 5856	Disposition to issuerConvertible Promissory Note · Derivative	1,000,000	Not disclosed Strike: $0.50	Not disclosed	Disclosure SEC source: 0000899243-20-000853 · doc4.xml · derivative · entry 1 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 2,000,000 shares Expires 2019-10-01 F2 · price: The Company recently completed a convertible promissory note exchange offer in which LRFA participated, among other non-affiliated investors. Pursuant to the exchange offer, as an inducement to extend the maturity date of a certain convertible promissory note (the "Original Note") beneficially owned by Dr. Welch, the Company (i) issued a new convertible promissory note (the "Exchange Note") in the principal amount equal to the principal amount of the Original Note plus the accrued but unpaid interest thereon and (ii) issued a warrant to purchase shares of common stock covering fifty percent of the shares of common stock into which the principal amount of the Original Note was convertible. F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein. Read SEC document
September 12, 2019 Filed Sep 16, 2019 21:13 UTC	CytoDyn Inc. CYDY · Entity 5856	GrantStock Options (right to buy) · Derivative	250,000	$0.00 Strike: $0.39	$0.00	Disclosure SEC source: 0000899243-19-023649 · doc4.xml · derivative · entry 1 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2029-09-12 Read SEC document
July 31, 2019 Filed Aug 2, 2019 21:30 UTC	CytoDyn Inc. CYDY · Entity 5856	Exercise / conversionWarrant (Right to Buy) · Derivative	1,000,000	$0.00 Strike: $0.30	$0.00	Disclosure SEC source: 0000899243-19-020923 · doc4.xml · derivative · entry 5 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 1,000,000 shares Expires 2023-12-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein. Read SEC document
July 31, 2019 Filed Aug 2, 2019 21:30 UTC	CytoDyn Inc. CYDY · Entity 5856	GrantWarrant (Right to Buy) · Derivative	1,000,000	Not disclosed Strike: $0.30	Not disclosed	Disclosure SEC source: 0000899243-19-020923 · doc4.xml · derivative · entry 4 Welch David F · CIK 0001399122 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,000,000 Underlying: Common Stock · 1,000,000 shares Expires 2023-12-28 F2 · price: On July 31, 2019, the Company completed a Warrant Tender Offer in which LRFA participated, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Dr. Welch, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants. F1 · ownership.nature: The reported securities of CytoDyn Inc. (the "Company") are held by LRFA, LLC, a Delaware limited liability company ("LRFA"). David F. Welch, Ph.D. is the sole managing member of LRFA. Dr. Welch disclaims beneficial ownership of the securities held by LRFA, except to the extent of his pecuniary interest therein. 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.