DOCKERY CARL 4

Accession 0000899243-19-017093

CIK 0001175680other

View on SEC.gov Company Profile

Filed

Jun 13, 8:00 PM ET

Accepted

Jun 14, 6:14 PM ET

Size

49.3 KB

Accession

0000899243-19-017093

Insider Transaction Report

Form 4

Period: 2019-06-12

CytoDyn Inc.CYDY

DOCKERY CARL

Director

Transactions

Exercise/Conversion
Common Stock
2019-06-12$0.30/sh+33,333$10,000→ 8,455,659 total(indirect: See Footnote)
Disposition to Issuer
Warrant (Right to Buy)
2019-06-12−1,000,000→ 0 total(indirect: See Footnote)
Exercise: $0.68From: 2015-06-24Exp: 2020-06-24→ Common Stock (1,000,000 underlying)
Award
Warrant (Right to Buy)
2019-06-12+33,333→ 33,333 total(indirect: See Footnote)
Exercise: $0.40From: 2017-07-28Exp: 2022-07-28→ Common Stock (33,333 underlying)
Disposition to Issuer
Warrant (Right to Buy)
2019-06-12−66,667→ 0 total(indirect: See Footnote)
Exercise: $0.75From: 2018-01-31Exp: 2023-01-31→ Common Stock (66,667 underlying)
Award
Warrant (Right to Buy)
2019-06-12+66,667→ 66,667 total(indirect: See Footnote)
Exercise: $0.40From: 2018-01-31Exp: 2023-01-31→ Common Stock (66,667 underlying)
Award
Common Stock
2019-06-12+712,499→ 9,484,825 total(indirect: See Footnote)
Exercise/Conversion
Common Stock
2019-06-12$0.40/sh+75,000$30,000→ 7,422,326 total(indirect: See Footnote)
Exercise/Conversion
Common Stock
2019-06-12$0.40/sh+1,000,000$400,000→ 8,422,326 total(indirect: See Footnote)
Exercise/Conversion
Common Stock
2019-06-12$0.40/sh+66,667$26,667→ 8,772,326 total(indirect: See Footnote)
Exercise/Conversion
Warrant (Right to Buy)
2019-06-12−33,333→ 0 total(indirect: See Footnote)
Exercise: $0.40From: 2017-07-28Exp: 2022-07-28→ Common Stock (33,333 underlying)
Exercise/Conversion
Warrant (Right to Buy)
2019-06-12−66,667→ 0 total(indirect: See Footnote)
Exercise: $0.40From: 2018-01-31Exp: 2023-01-31→ Common Stock (66,667 underlying)
Exercise/Conversion
Common Stock
2019-06-12$0.40/sh+250,000$100,000→ 8,705,659 total(indirect: See Footnote)
Award
Warrant (Right to Buy)
2019-06-12+1,000,000→ 1,000,000 total(indirect: See Footnote)
Exercise: $0.40From: 2015-06-24Exp: 2020-06-24→ Common Stock (1,000,000 underlying)
Exercise/Conversion
Warrant (Right to Buy)
2019-06-12−1,000,000→ 0 total(indirect: See Footnote)
Exercise: $0.40From: 2015-06-24Exp: 2020-06-24→ Common Stock (1,000,000 underlying)
Disposition to Issuer
Warrant (Right to Buy)
2019-06-12−250,000→ 0 total(indirect: See Footnote)
Exercise: $0.50From: 2014-09-26Exp: 2019-12-31→ Common Stock (250,000 underlying)
Disposition to Issuer
Warrant (Right to Buy)
2019-06-12−75,000→ 0 total(indirect: See Footnote)
Exercise: $0.50From: 2015-02-16Exp: 2020-02-28→ Common Stock (75,000 underlying)
Exercise/Conversion
Warrant (Right to Buy)
2019-05-08−75,000→ 0 total(indirect: See Footnote)
Exercise: $0.40From: 2015-02-16Exp: 2020-02-28→ Common Stock (75,000 underlying)
Award
Warrant (Right to Buy)
2019-05-08+75,000→ 75,000 total(indirect: See Footnote)
Exercise: $0.40From: 2015-02-16Exp: 2020-02-28→ Common Stock (75,000 underlying)
Disposition to Issuer
Warrant (Right to Buy)
2019-06-12−33,333→ 0 total(indirect: See Footnote)
Exercise: $1.00From: 2017-07-28Exp: 2022-07-28→ Common Stock (33,333 underlying)
Award
Warrant (Right to Buy)
2019-06-12+250,000→ 250,000 total(indirect: See Footnote)
Exercise: $0.40From: 2014-09-26Exp: 2019-12-31→ Common Stock (250,000 underlying)
Exercise/Conversion
Warrant (Right to Buy)
2019-06-12−250,000→ 0 total(indirect: See Footnote)
Exercise: $0.40From: 2014-09-26Exp: 2019-12-31→ Common Stock (250,000 underlying)

Footnotes (2)

[F1]The reported securities are held by Alpha Venture Capital Partners, L.P. ("AVCP"). Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP, except to the extent of his pecuniary interest in such securities.
[F2]On June 12, 2019, the Company completed a Warrant Tender Offer in which AVCP participated, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by AVCP, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants.

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

CytoDyn Inc.

CIK 0001175680

→

Entity typeother

Related Parties

filerCIK 0001618149

Filing Metadata

Form type: 4
Filed: Jun 13, 8:00 PM ET
Accepted: Jun 14, 6:14 PM ET
Size: 49.3 KB

View on SEC.gov