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Rezolute, Inc. — Director's Dealing 2020
Oct 30, 2020
32362_dirs_2020-10-30_cc8c51f6-50e7-4a22-9691-a4820e8a8f2d.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Rezolute, Inc. (RZLT)
CIK: 0001509261
Period of Report: 2020-10-23
Reporting Person: ROBERTS BRIAN KENNETH (Sr VP, Clinic Development)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $156.00 | 2024-03-25 | Common Shares (3400) | Direct | |
| Employee Stock Option (Right to Buy) | $52.50 | 2027-04-12 | Common Shares (9000) | Direct | |
| Employee Stock Option (Right to Buy) | $14.50 | 2029-07-30 | Common Shares (40000) | Direct | |
| Employee Stock Option (Right to Buy) | $14.50 | 2029-07-30 | Common Shares (20000) | Direct |
Footnotes
F1: The options were granted on March 26, 2014, and were fully vested on March 26, 2018.
F2: The options were granted on April 13, 2017, and vest in equal monthly installments over 48 months.
F3: The options were granted on July 31, 2019, and vest as follows: 25% of the options vested on July 31, 2019; the remaining options vest in equal monthly installments over 36 months.
F4: The options are subject to certain conditions, including the closing stock price of the Issuer's common shares. Subject to meeting share price criteria, the options shall vest in equal monthly installments over a period of 36 months.