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Rezolute, Inc. — Director's Dealing 2021
Jul 15, 2021
32362_dirs_2021-07-14_abac6e36-f017-403f-ba12-1dbbe878345b.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Rezolute, Inc. (RZLT)
CIK: 0001509261
Period of Report: 2021-06-14
Reporting Person: ROBERTS BRIAN KENNETH (Sr VP, Clinic Development)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-06-14 | Stock Option (right to buy) | $12.28 | A | 75000 | Acquired | 2031-06-14 | Common Stock (75000) | Direct |
| 2021-06-14 | Stock Option (right to buy) | $52.50 | D | 9000 | Disposed | 2027-04-13 | Common Stock (9.000) | Direct |
| 2021-06-14 | Stock Option (right to buy) | $14.50 | D | 20000 | Disposed | 2029-07-31 | Common Stock (20000) | Direct |
Footnotes
F1: The Option will become vested and exercisable as follows: (i) 25% of options shall vest on Grant date and (ii) one thirty-sixth (1/36) of remaining such Options shall vest each month thereafter on the first day of each month until the Option is 100% vested. The unvested portion of the Option will not be exercisable on or after the Reporting Person's termination of Continuous Service.
F2: The disposed of options only vest equally over a 36-month period following certain performance and market price criteria, which had not been met through date of disposition.