Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Rezolute, Inc.RZLT · Entity 1990 | Director · 10% owner | October 15, 2021 | March 19, 2024 |
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.
Rezolute, Inc.
Report date October 15, 2021 · Filed March 19, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 5,942,617 |
Ending reported balance
After 2022-07-22 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2021-10-15 · Purchase · Acquired 769,231 · Balance 2,784,722 Row 2 · 2022-07-22 · Purchase · Acquired 3,157,895 · Balance 5,942,617 |
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 |
|---|---|---|---|---|---|---|
| August 03, 2020 Filed Aug 4, 2020 14:51 UTC | Rezolute, Inc. RZLT · Entity 1990 | PurchaseCommon Shares | 125,000 | $0.34 | $42,162.50 |
DisclosureSEC source: 0001567619-20-014099 · doc1.xml · nonDerivative · entry 1 HANDOK, INC. · CIK 0001798101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,714,587 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.31 to $0.344, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2). Read SEC document |
| July 31, 2020 Filed Aug 3, 2020 14:37 UTC | Rezolute, Inc. RZLT · Entity 1990 | PurchaseCommon Shares | 250,000 | $0.31 | $78,650.00 |
DisclosureSEC source: 0001567619-20-014015 · doc1.xml · nonDerivative · entry 2 HANDOK, INC. · CIK 0001798101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,589,587 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020. F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.30 to $0.344, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2). Read SEC document |
| July 30, 2020 Filed Aug 3, 2020 14:37 UTC | Rezolute, Inc. RZLT · Entity 1990 | PurchaseCommon Shares | 125,000 | $0.32 | $40,312.50 |
DisclosureSEC source: 0001567619-20-014015 · doc1.xml · nonDerivative · entry 1 HANDOK, INC. · CIK 0001798101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,339,587 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.31 to $0.339, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2). Read SEC document |
| July 29, 2020 Filed Jul 30, 2020 21:34 UTC | Rezolute, Inc. RZLT · Entity 1990 | PurchaseCommon Shares | 125,000 | $0.34 | $42,000.00 |
DisclosureSEC source: 0001567619-20-013907 · doc1.xml · nonDerivative · entry 2 HANDOK, INC. · CIK 0001798101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,214,587 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020. F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.31 to $0.35, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2). Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 21:34 UTC | Rezolute, Inc. RZLT · Entity 1990 | PurchaseCommon Shares | 125,000 | $0.32 | $40,575.00 |
DisclosureSEC source: 0001567619-20-013907 · doc1.xml · nonDerivative · entry 1 HANDOK, INC. · CIK 0001798101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,089,587 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.31 to $0.35, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2). Read SEC document |
| July 27, 2020 Filed Jul 28, 2020 16:14 UTC | Rezolute, Inc. RZLT · Entity 1990 | PurchaseCommon Shares | 125,000 | $0.34 | $42,187.50 |
DisclosureSEC source: 0001567619-20-013796 · doc1.xml · nonDerivative · entry 2 HANDOK, INC. · CIK 0001798101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,964,587 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020. F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.33 to $0.341, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2). Read SEC document |
| July 24, 2020 Filed Jul 28, 2020 16:14 UTC | Rezolute, Inc. RZLT · Entity 1990 | PurchaseCommon Shares | 125,000 | $0.31 | $39,312.50 |
DisclosureSEC source: 0001567619-20-013796 · doc1.xml · nonDerivative · entry 1 HANDOK, INC. · CIK 0001798101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,839,587 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.3095 to $0.325, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2). Read SEC document |
| July 23, 2020 Filed Jul 24, 2020 14:01 UTC | Rezolute, Inc. RZLT · Entity 1990 | PurchaseCommon Shares | 187,000 | $0.30 | $56,511.40 |
DisclosureSEC source: 0001567619-20-013679 · doc1.xml · nonDerivative · entry 2 HANDOK, INC. · CIK 0001798101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,714,587 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020. F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.28 to $0.3099, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2). Read SEC document |
| July 22, 2020 Filed Jul 24, 2020 14:01 UTC | Rezolute, Inc. RZLT · Entity 1990 | PurchaseCommon Shares | 250,000 | $0.28 | $70,750.00 |
DisclosureSEC source: 0001567619-20-013679 · doc1.xml · nonDerivative · entry 1 HANDOK, INC. · CIK 0001798101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,527,587 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.26 to $0.2999, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2). Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 14:25 UTC | Rezolute, Inc. RZLT · Entity 1990 | PurchaseCommon Shares | 250,000 | $0.25 | $63,150.00 |
DisclosureSEC source: 0001567619-20-013563 · doc1.xml · nonDerivative · entry 1 HANDOK, INC. · CIK 0001798101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,277,587 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.225 to $0.268, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2). Read SEC document |
| July 20, 2020 Filed Jul 21, 2020 14:14 UTC | Rezolute, Inc. RZLT · Entity 1990 | PurchaseCommon Shares | 250,000 | $0.26 | $65,650.00 |
DisclosureSEC source: 0001567619-20-013523 · doc1.xml · nonDerivative · entry 2 HANDOK, INC. · CIK 0001798101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,027,587 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020. F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.255 to $0.267, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (3). Read SEC document |
| July 17, 2020 Filed Jul 21, 2020 14:14 UTC | Rezolute, Inc. RZLT · Entity 1990 | PurchaseCommon Shares | 250,000 | $0.21 | $52,175.00 |
DisclosureSEC source: 0001567619-20-013523 · doc1.xml · nonDerivative · entry 1 HANDOK, INC. · CIK 0001798101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,777,587 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.191 to $0.24, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2). Read SEC document |
| July 16, 2020 Filed Jul 17, 2020 14:51 UTC | Rezolute, Inc. RZLT · Entity 1990 | PurchaseCommon Shares | 250,000 | $0.19 | $46,650.00 |
DisclosureSEC source: 0001567619-20-013383 · doc1.xml · nonDerivative · entry 1 HANDOK, INC. · CIK 0001798101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,527,587 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.17 to $0.20, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2). Read SEC document |
| July 15, 2020 Filed Jul 16, 2020 15:31 UTC | Rezolute, Inc. RZLT · Entity 1990 | PurchaseCommon Shares | 250,000 | $0.16 | $39,350.00 |
DisclosureSEC source: 0001567619-20-013331 · doc1.xml · nonDerivative · entry 1 HANDOK, INC. · CIK 0001798101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,277,587 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.157 to $0.167, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2). Read SEC document |
| July 14, 2020 Filed Jul 15, 2020 15:54 UTC | Rezolute, Inc. RZLT · Entity 1990 | PurchaseCommon Shares | 84,000 | $0.16 | $13,204.80 |
DisclosureSEC source: 0001567619-20-013298 · doc1.xml · nonDerivative · entry 1 HANDOK, INC. · CIK 0001798101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,027,587 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.155 to $0.1575, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2). Read SEC document |
| July 13, 2020 Filed Jul 15, 2020 01:56 UTC | Rezolute, Inc. RZLT · Entity 1990 | PurchaseCommon Shares | 100,000 | $0.15 | $15,290.00 |
DisclosureSEC source: 0001567619-20-013287 · doc1.xml · nonDerivative · entry 6 HANDOK, INC. · CIK 0001798101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,943,587 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020. F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.143 to $0.155, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (6). Read SEC document |
| July 10, 2020 Filed Jul 15, 2020 01:56 UTC | Rezolute, Inc. RZLT · Entity 1990 | PurchaseCommon Shares | 18,550 | $0.13 | $2,411.50 |
DisclosureSEC source: 0001567619-20-013287 · doc1.xml · nonDerivative · entry 5 HANDOK, INC. · CIK 0001798101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,843,587 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020. Read SEC document |
| July 09, 2020 Filed Jul 15, 2020 01:56 UTC | Rezolute, Inc. RZLT · Entity 1990 | PurchaseCommon Shares | 133,804 | $0.13 | $17,341.00 |
DisclosureSEC source: 0001567619-20-013287 · doc1.xml · nonDerivative · entry 4 HANDOK, INC. · CIK 0001798101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,825,037 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.125 to $0.130, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (5). Read SEC document |
| July 08, 2020 Filed Jul 15, 2020 01:56 UTC | Rezolute, Inc. RZLT · Entity 1990 | PurchaseCommon Shares | 45,200 | $0.12 | $5,460.16 |
DisclosureSEC source: 0001567619-20-013287 · doc1.xml · nonDerivative · entry 3 HANDOK, INC. · CIK 0001798101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,691,233 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020. F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.12 to $0.121, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (4). Read SEC document |
| July 07, 2020 Filed Jul 15, 2020 01:56 UTC | Rezolute, Inc. RZLT · Entity 1990 | PurchaseCommon Shares | 45,100 | $0.11 | $4,744.52 |
DisclosureSEC source: 0001567619-20-013287 · doc1.xml · nonDerivative · entry 2 HANDOK, INC. · CIK 0001798101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,646,033 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020. F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.10 to $0.109, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (3). Read SEC document |
| July 06, 2020 Filed Jul 15, 2020 01:56 UTC | Rezolute, Inc. RZLT · Entity 1990 | PurchaseCommon Shares | 300,000 | $0.10 | $30,360.00 |
DisclosureSEC source: 0001567619-20-013287 · doc1.xml · nonDerivative · entry 1 HANDOK, INC. · CIK 0001798101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,600,933 F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.10 to $0.105, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2). Read SEC document |
| July 23, 2019 Filed Mar 31, 2020 20:17 UTC | Rezolute, Inc. RZLT · Entity 1990 | PurchaseCommon Stock | 34,482,758 | $0.29 | $9,999,999.82 |
DisclosureSEC source: 0001104659-20-041173 · tm2014353d2_4.xml · nonDerivative · entry 2 HANDOK, INC. · CIK 0001798101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,300,933 F3 · kind: Issuer granted Reporting Person a call option whereby the earlier of, (i) December 31, 2020 and (ii) the date when Issuer asks Reporting Person for further financing, Reporting Person may elect to purchase up to $10,000,000 worth of shares of the Issuer's Common Stock at a purchase price equal to the greater of: (i) $0.29 per share or (ii) 75% of the volume weighted average closing price of the Issuer's Common Stock during the thirty (30) consecutive trading days prior to the date of the notice. Pursuant to a Purchase Agreement for Shares of Common Stock dated July 23, 2019, Reporting Person exercised the full call option to purchase Common Stock. Read SEC document |
| April 26, 2019 Filed Mar 31, 2020 20:17 UTC | Rezolute, Inc. RZLT · Entity 1990 | ConversionSeries AA Preferred Stock · Derivative | 1,250,000 | $10.00 Strike: $0.22 | $12,500,000.00 |
DisclosureSEC source: 0001104659-20-041173 · tm2014353d2_4.xml · derivative · entry 3 HANDOK, INC. · CIK 0001798101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 56,818,175 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. F1 · derivative.exercise_date: Reporting Person acquired 1,250,000 shares of Issuer's Series AA Preferred Stock on January 30, 2019. Each share of the Issuer's Series AA Preferred Stock is convertible into shares of the Issuer's Common Stock at a ratio of 45.45454 shares of Common Stock for one share of Series AA Preferred Stock ("Conversion Rate") at the holder's election and has no expiration date. The Series AA Preferred Stock will automatically convert, at the Conversion Rate, into Common Stock (i) at any time upon the vote or consent of the holders of two thirds of the voting power of the then outstanding Series AA Preferred Stock or (ii) the amendment to Issuer's Certificate of Incorporation to increase the number of shares of Common Stock authorized to be issued to at least 500,000,000 shares of Common Stock. F2 · derivative.exercise_date: Upon the filing of Issuer's amendment to Certificate of Incorporation on April 26, 2019, which amendment increased the authorized number of shares of Common Stock of the Issuer to 500,000,000, each share of Series AA Preferred Stock automatically converted into shares of the Issuer's Common Stock at the Conversion Rate. F1 · derivative.expiration_date: Reporting Person acquired 1,250,000 shares of Issuer's Series AA Preferred Stock on January 30, 2019. Each share of the Issuer's Series AA Preferred Stock is convertible into shares of the Issuer's Common Stock at a ratio of 45.45454 shares of Common Stock for one share of Series AA Preferred Stock ("Conversion Rate") at the holder's election and has no expiration date. The Series AA Preferred Stock will automatically convert, at the Conversion Rate, into Common Stock (i) at any time upon the vote or consent of the holders of two thirds of the voting power of the then outstanding Series AA Preferred Stock or (ii) the amendment to Issuer's Certificate of Incorporation to increase the number of shares of Common Stock authorized to be issued to at least 500,000,000 shares of Common Stock. F2 · derivative.expiration_date: Upon the filing of Issuer's amendment to Certificate of Incorporation on April 26, 2019, which amendment increased the authorized number of shares of Common Stock of the Issuer to 500,000,000, each share of Series AA Preferred Stock automatically converted into shares of the Issuer's Common Stock at the Conversion Rate. F1 · derivative.underlying_shares: Reporting Person acquired 1,250,000 shares of Issuer's Series AA Preferred Stock on January 30, 2019. Each share of the Issuer's Series AA Preferred Stock is convertible into shares of the Issuer's Common Stock at a ratio of 45.45454 shares of Common Stock for one share of Series AA Preferred Stock ("Conversion Rate") at the holder's election and has no expiration date. The Series AA Preferred Stock will automatically convert, at the Conversion Rate, into Common Stock (i) at any time upon the vote or consent of the holders of two thirds of the voting power of the then outstanding Series AA Preferred Stock or (ii) the amendment to Issuer's Certificate of Incorporation to increase the number of shares of Common Stock authorized to be issued to at least 500,000,000 shares of Common Stock. F2 · derivative.underlying_shares: Upon the filing of Issuer's amendment to Certificate of Incorporation on April 26, 2019, which amendment increased the authorized number of shares of Common Stock of the Issuer to 500,000,000, each share of Series AA Preferred Stock automatically converted into shares of the Issuer's Common Stock at the Conversion Rate. Read SEC document |
| April 26, 2019 Filed Mar 31, 2020 20:17 UTC | Rezolute, Inc. RZLT · Entity 1990 | ConversionCommon Stock | 56,818,175 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-041173 · tm2014353d2_4.xml · nonDerivative · entry 1 HANDOK, INC. · CIK 0001798101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,818,175 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 · price: Reporting Person acquired 1,250,000 shares of Issuer's Series AA Preferred Stock on January 30, 2019. Each share of the Issuer's Series AA Preferred Stock is convertible into shares of the Issuer's Common Stock at a ratio of 45.45454 shares of Common Stock for one share of Series AA Preferred Stock ("Conversion Rate") at the holder's election and has no expiration date. The Series AA Preferred Stock will automatically convert, at the Conversion Rate, into Common Stock (i) at any time upon the vote or consent of the holders of two thirds of the voting power of the then outstanding Series AA Preferred Stock or (ii) the amendment to Issuer's Certificate of Incorporation to increase the number of shares of Common Stock authorized to be issued to at least 500,000,000 shares of Common Stock. F2 · price: Upon the filing of Issuer's amendment to Certificate of Incorporation on April 26, 2019, which amendment increased the authorized number of shares of Common Stock of the Issuer to 500,000,000, each share of Series AA Preferred Stock automatically converted into shares of the Issuer's Common Stock at the Conversion Rate. 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.