EFDID: 352740EFD: View Filing

Issuer: Rezolute, Inc. (0001509261) - D

Accession: 0001567619-20-018071 (XMLRaw Data) (EDGAREDGAR Files) (Form DForm D)

EDGAR: Issuer Information
  • CIK:
  • Entity Name:
    Rezolute, Inc.
  • Entity Type:
    Corporation
  • Jurisdiction:
    DELAWARE
  • Year of Inc:
    Over 5 years ago
  • Address:
    201 Redwood Shores Pkwy, Suite 315
    Redwood City, CA 94065
  • Persons:
    Related Persons 7
    Nevan Charles Elam
    Executive Officer, Director
    Gil Labrucherie
    Director
    Sankaram Mantripragada
    Executive Officer
    Keith Vendola
    Executive Officer
    Philippe Fauchet
    Director
    Jung-Hee Lim
    Director
    Young-Jin Kim
    Director
EDGAR: Offering Information
  • Accession Date:
    10/22/2020
  • First Sale Date:
    10/09/2020
  • Offering Amount:
    $56,990,020
  • Amount Sold:
    $41,000,000
  • Amount Remaining:
    $15,990,020
  • Exemptions:
    Rule 506
  • Security Type(s):
    Equity, Units, each consisting of one common share and .33 of one warrant; each whole warrant is exercisable for one post-split common share at $19.50 per share
  • Sales Clarification:
    Aggregate offering includes amount that may be received by Issuer upon exercise of warrants. Each whole warrant may be exercised for one post-split common share at a price of $19.50 per share until October 9, 2027.
EFD: Current State Notices

Notices found in EFD

Filed:CA, NJ, PA
EDGAR: Sales Compensation Recipient Information
RecipientCRDBroker DealerBD CRDStates
Canaccord Genuity LLC 1020 None None CA, FL, NJ, NY, PA
JMP Securities LLC 22208 None None CA, FL, NJ, NY, PA
Griffin Securities, Inc. 43229 None None CA, NY
EDGAR: Signatures
IssuerSignatureSigner NameTitleSignatureDate
Rezolute, Inc./s/ Keith VendolaKeith VendolaChief Financial Officer2020-10-21