Rezolute, Inc. — Director's Dealing 2021

Jul 15, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Rezolute, Inc. (RZLT)
CIK: 0001509261
Period of Report: 2021-06-14

Reporting Person: Elam Nevan C (Director, Chief Executive Officer)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-06-14	Stock Option (right to buy)	$103.00	D	34800	Disposed	2025-02-23	Common Stock (34800)	Direct
2021-06-14	Stock Option (right to buy)	$60.00	D	70000	Disposed	2026-12-28	Common Stock (70000)	Direct
2021-06-14	Stock Option (right to buy)	$12.28	A	375000	Acquired	2031-06-14	Common Stock (675000)	Direct
2021-06-14	Stock Option (right to buy)	$14.50	D	100000	Disposed	2029-07-31	Common Stock (100000)	Direct

Footnotes

F1: This Option shall vest and become exercisable as follows: (i) 25% of the options shall vest on the Grant Date and (ii) one thirty-sixth (1/36) of 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 subject to the terms of the Reporting Person's employment agreement.

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.

F3: The number of derivative securities beneficially owned is based on post-split stock numbers.