Filing Details
- Accession Number:
- 0001807094-20-000007
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2020-05-15 08:46:15
- Reporting Period:
- 2020-05-01
- Accepted Time:
- 2020-05-15 08:46:15
- Original Submission Date:
- 2020-05-05
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1175680 | Cytodyn Inc. | CYDY | Pharmaceutical Preparations (2834) | 753056237 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1703394 | A. Scott Kelly | C/O Cytodyn Inc. 1111 Main Street, Suite 660 Vancouver WA 98660 | Chairman & Cmo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2020-05-01 | 7,123 | $0.61 | 1,325,293 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-05-01 | 75,000 | $0.57 | 1,400,293 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-05-01 | 97,009 | $0.56 | 1,497,302 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-05-01 | 100,000 | $0.49 | 1,597,302 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-05-01 | 250,000 | $0.57 | 1,847,302 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-05-01 | 66,666 | $0.52 | 1,913,968 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-05-01 | 750,000 | $0.39 | 2,663,968 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-05-01 | 93,750 | $0.39 | 2,757,718 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-05-01 | 1,200,000 | $3.26 | 1,557,718 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-05-04 | 8,334 | $0.52 | 1,566,052 | No | 4 | M | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Nonqualified Stock Option-right to buy | Acquisiton | 2020-05-01 | 7,123 | $0.00 | 7,123 | $0.61 |
| Common Stock | Nonqualified Stock Option-right to buy | Acquisiton | 2020-05-01 | 75,000 | $0.00 | 75,000 | $0.57 |
| Common Stock | Nonqualified Stock Option-right to buy | Acquisiton | 2020-05-01 | 97,009 | $0.00 | 97,009 | $0.56 |
| Common Stock | Nonqualified Stock Option-right to buy | Acquisiton | 2020-05-01 | 100,000 | $0.00 | 100,000 | $0.49 |
| Common Stock | Nonqualified Stock Option-right to buy | Acquisiton | 2020-05-01 | 250,000 | $0.00 | 250,000 | $0.57 |
| Common Stock | Nonqualified Stock Option-right to buy | Acquisiton | 2020-05-01 | 66,666 | $0.00 | 66,666 | $0.52 |
| Common Stock | Nonqualified Stock Option-right to buy | Acquisiton | 2020-05-01 | 750,000 | $0.00 | 750,000 | $0.39 |
| Common Stock | Nonqualified Stock Option-right to buy | Acquisiton | 2020-05-01 | 93,750 | $0.00 | 93,750 | $0.39 |
| Common Stock | Nonqualified Stock Option-right to buy | Acquisiton | 2020-05-04 | 8,334 | $0.00 | 8,334 | $0.52 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2017-05-31 | 2027-04-10 | No | 4 | M | Direct |
| 0 | 2018-06-01 | 2027-06-01 | No | 4 | M | Direct |
| 0 | 2018-02-07 | 2028-02-07 | No | 4 | M | Direct |
| 0 | 2019-06-08 | 2028-06-08 | No | 4 | M | Direct |
| 0 | 2018-11-08 | 2028-11-08 | No | 4 | M | Direct |
| 33,334 | 2020-03-01 | 2029-06-18 | No | 4 | M | Direct |
| 0 | 2019-09-12 | 2029-09-12 | No | 4 | M | Direct |
| 0 | 2020-04-07 | 2029-10-07 | No | 4 | M | Direct |
| 25,000 | 2020-03-01 | 2029-06-18 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 691,208 | Indirect | By Spouse |
| Common Stock | 23,180 | Indirect | As Custodian for daughter |
| Common Stock | 22,980 | Indirect | By Custodian for daughter |
Footnotes
- This amendment to Form 4 filed on May 5, 2020 amends the transaction code to "M" from the original and incorrect transaction code of "P." The transaction corresponds with the nonqualified option exercise on line 5 in Table II.
- This transaction was executed in multiple trades at prices ranging from $3.16 to $3.37. The price above reflects the weighted-average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.
- The reporting person disclaims beneficial ownership in these securities and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reporting person for purposes of Section 16 or for any other purpose.
- Option grant vests every four months beginning September 7, 2019.
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