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Caracciolo Anthony 4

Accession 0000899243-18-029254

CIK 0001175680other
View on SEC.govCompany Profile

Filed

Nov 18, 7:00 PM ET

Accepted

Nov 19, 8:00 AM ET

Size

48.1 KB

Accession

0000899243-18-029254

Insider Transaction Report

Form 4
Period: 2018-11-16
CytoDyn Inc.CYDY
CARACCIOLO ANTHONY
Director
Transactions
  • Award

    Stock Options (right to buy)

    2018-11-16+50,000→ 50,000 total
    Exercise: $0.66From: 2015-06-01Exp: 2019-06-01→ Common Stock (50,000 underlying)
  • Award

    Stock Options (right to buy)

    2018-11-16+25,000→ 25,000 total
    Exercise: $1.55From: 2013-06-01Exp: 2022-06-01→ Common Stock (25,000 underlying)
  • Award

    Stock Options (right to buy)

    2018-11-16+250,000→ 250,000 total
    Exercise: $0.97From: 2015-06-11Exp: 2025-06-11→ Common Stock (250,000 underlying)
  • Award

    Stock Options (right to buy)

    2018-11-16+128,530→ 128,530 total
    Exercise: $0.56From: 2018-02-07Exp: 2028-02-07→ Common Stock (128,530 underlying)
  • Award

    Common Stock

    2018-11-16+26,000→ 26,000 total(indirect: By Spouse)
  • Award

    Stock Options (right to buy)

    2018-11-16+550,000→ 550,000 total
    Exercise: $0.76Exp: 2027-02-12→ Common Stock (550,000 underlying)
  • Award

    Warrants (right to buy)

    2018-11-16+333,333→ 333,333 total(indirect: By Trust)
    Exercise: $0.75From: 2017-05-31Exp: 2022-05-31→ Common Stock (333,333 underlying)
  • Award

    Common Stock

    2018-11-16+2,093,972→ 2,093,972 total(indirect: By Trust)
  • Award

    Common Stock

    2018-11-16+62,136→ 62,136 total
  • Award

    Stock Options (right to buy)

    2018-11-16+950,000→ 950,000 total
    Exercise: $0.49Exp: 2028-06-08→ Common Stock (950,000 underlying)
  • Award

    Warrants (right to buy)

    2018-11-16+1,333,334→ 1,333,334 total(indirect: By Trust)
    Exercise: $0.75From: 2018-01-31Exp: 2023-01-31→ Common Stock (1,333,334 underlying)
  • Award

    Warrants (right to buy)

    2018-11-16+333,333→ 333,333 total(indirect: By Trust)
    Exercise: $0.75From: 2017-06-19Exp: 2022-05-31→ Common Stock (333,333 underlying)
  • Award

    Warrants (right to buy)

    2018-11-16+200,000→ 200,000 total(indirect: By LLC)
    Exercise: $0.75From: 2017-11-08Exp: 2022-11-08→ Common Stock (200,000 underlying)
  • Award

    Stock Options (right to buy)

    2018-11-16+100,000→ 100,000 total
    Exercise: $0.64From: 2014-05-29Exp: 2019-05-29→ Common Stock (100,000 underlying)
  • Award

    Common Stock

    2018-11-16+200,000→ 200,000 total(indirect: By LLC)
  • Award

    Stock Options (right to buy)

    2018-11-16+11,543→ 11,543 total
    Exercise: $2.90From: 2013-05-21Exp: 2022-05-21→ Common Stock (11,543 underlying)
  • Award

    Stock Options (right to buy)

    2018-11-16+50,000→ 50,000 total
    Exercise: $0.97From: 2016-09-01Exp: 2025-06-01→ Common Stock (50,000 underlying)
  • Award

    Stock Options (right to buy)

    2018-11-16+50,000→ 50,000 total
    Exercise: $1.09From: 2017-06-01Exp: 2026-06-01→ Common Stock (50,000 underlying)
  • Award

    Stock Options (right to buy)

    2018-11-16+450,000→ 450,000 total
    Exercise: $0.76Exp: 2027-02-12→ Common Stock (450,000 underlying)
  • Award

    Stock Options (right to buy)

    2018-11-16+50,000→ 50,000 total
    Exercise: $0.80From: 2018-02-15Exp: 2028-02-15→ Common Stock (50,000 underlying)
Footnotes (6)
  • [F1]On November 16, 2018, CytoDyn Inc. completed a holding company reorganization in which CytoDyn Inc. ("Old CytoDyn") merged with and into a wholly-owned subsidiary of Point NewCo Inc. (which has been renamed CytoDyn Inc.) ("New CytoDyn") with Old CytoDyn continuing as the surviving corporation and as a wholly-owned subsidiary of New CytoDyn (the "Holding Company Reorganization"). In the Holding Company Reorganization, each outstanding share of Old CytoDyn capital stock (including common stock and Series B preferred stock) was disposed of in exchange for an equivalent share of New CytoDyn capital stock, and each Old CytoDyn warrant, convertible promissory note and stock option was converted into an equivalent right to purchase New CytoDyn common stock.
  • [F2]In connection with the transactions consummated on November 16, 2018, immediately after the effective time of the Holding Company Reorganization, New CytoDyn issued to ProstaGene, LLC 27,000,000 newly issued shares of New CytoDyn common stock (representing approximately 6.5% of the total number of outstanding shares of New CytoDyn common stock, after giving effect to such issuance).
  • [F3]The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.
  • [F4]The options (including predecessor options) vest in equal monthly installments over the two-year period commencing on March 12, 2017.
  • [F5]The options (including predecessor options) vest upon the achievement of certain strategic milestones specified in the award agreement.
  • [F6]The options vest in equal monthly installments over the two-year period commencing on July 8, 2018.

Documents

1 file

Issuer

CytoDyn Inc.

CIK 0001175680

→
Entity typeother

Related Parties

1
  • filerCIK 0001258929

Filing Metadata

Form type
4
Filed
Nov 18, 7:00 PM ET
Accepted
Nov 19, 8:00 AM ET
Size
48.1 KB
View on SEC.gov