Filing Details
- Accession Number:
- 0001807094-20-000030
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2020-12-21 21:55:52
- Reporting Period:
- 2020-12-17
- Accepted Time:
- 2020-12-21 21:55:52
- Original Submission Date:
- 2020-12-21
- 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 |
|---|---|---|---|---|---|---|---|
| 1257911 | D. Michael Mulholland | 1111 Main Street, Suite 660 Vancouver WA 98660 | Chief Financial Officer | No | 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 | 2020-12-17 | 32,000 | $0.39 | 316,081 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-12-17 | 32,000 | $4.55 | 284,081 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-12-18 | 155,500 | $0.39 | 439,581 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-12-18 | 233,100 | $0.49 | 672,681 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-12-18 | 98,402 | $0.57 | 771,083 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-12-18 | 487,002 | $4.95 | 284,081 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-12-21 | 201,598 | $0.57 | 485,679 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-12-21 | 300,000 | $0.80 | 785,679 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-12-21 | 88,199 | $0.87 | 873,878 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-12-21 | 585,797 | $5.58 | 284,081 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-qualified Stock Option (right to buy) | Acquisiton | 2020-12-17 | 32,000 | $0.00 | 32,000 | $0.39 |
| Common Stock | Non-qualified Stock Option (right to buy) | Acquisiton | 2020-12-18 | 155,500 | $0.00 | 155,500 | $0.39 |
| Common Stock | Non-qualified Stock Option (right to buy) | Acquisiton | 2020-12-18 | 233,100 | $0.00 | 233,100 | $0.49 |
| Common Stock | Non-qualified Stock Option (right to buy) | Acquisiton | 2020-12-18 | 98,402 | $0.00 | 98,402 | $0.57 |
| Common Stock | Non-qualified Stock Option (right to buy) | Acquisiton | 2020-12-21 | 201,598 | $0.00 | 201,598 | $0.57 |
| Common Stock | Non-qualified Stock Option (right to buy) | Acquisiton | 2020-12-21 | 300,000 | $0.00 | 300,000 | $0.80 |
| Common Stock | Non-qualified Stock Option (right to buy) | Acquisiton | 2020-12-21 | 88,199 | $0.00 | 88,199 | $0.87 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 155,500 | 2020-12-17 | 2029-10-07 | No | 4 | M | Direct |
| 0 | 2020-12-18 | 2029-10-07 | No | 4 | M | Direct |
| 116,900 | 2020-12-18 | 2028-06-08 | No | 4 | M | Direct |
| 201,598 | 2020-12-18 | 2027-06-01 | No | 4 | M | Direct |
| 0 | 2020-12-21 | 2027-06-01 | No | 4 | M | Direct |
| 0 | 2020-12-21 | 2023-02-15 | No | 4 | M | Direct |
| 161,801 | 2020-12-21 | 2025-11-23 | No | 4 | M | Direct |
Footnotes
- All shares sold and reported in this Form 4 were sold pursuant to a Rule 10b5-1 trading plan the reporting person entered into on November 12, 2020. The plan provides for periodic sales by the reporting person's broker without further action by the reporting person.
- This transaction was executed in multiple trades at prices ranging from $4.50 to $4.68. 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.
- This transaction was executed in multiple trades at prices ranging from $4.80 to $5.08. 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.
- This transaction was executed in multiple trades at prices ranging from $5.03 to $6.00. 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 reported option became fully vested on October 7, 2020.
- Sixty-seven percent (67%) of the reported option became fully vested on June 8, 2020; the shares remaining subject to this option vest on June 8, 2021.
- The reported option became fully vested on June 1, 2020.
- The reported option became fully vested on grant date.
- Fifty percent (50%) of the reported option became fully vested in 2016 and 50% was forfeited.
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