0000899243-17-015190.txt : 20170602 0000899243-17-015190.hdr.sgml : 20170602 20170602180323 ACCESSION NUMBER: 0000899243-17-015190 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170531 FILED AS OF DATE: 20170602 DATE AS OF CHANGE: 20170602 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CytoDyn Inc. CENTRAL INDEX KEY: 0001175680 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 753056237 STATE OF INCORPORATION: DE FISCAL YEAR END: 0531 BUSINESS ADDRESS: STREET 1: 1111 MAIN STREET, SUITE 660 CITY: VANCOUVER STATE: WA ZIP: 98660 BUSINESS PHONE: 360-980-8524 MAIL ADDRESS: STREET 1: 1111 MAIN STREET, SUITE 660 CITY: VANCOUVER STATE: WA ZIP: 98660 FORMER COMPANY: FORMER CONFORMED NAME: CYTODYN INC DATE OF NAME CHANGE: 20031114 FORMER COMPANY: FORMER CONFORMED NAME: REXRAY CORP DATE OF NAME CHANGE: 20020617 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Caracciolo Anthony CENTRAL INDEX KEY: 0001258929 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-49908 FILM NUMBER: 17889321 MAIL ADDRESS: STREET 1: 1111 MAIN STREET, SUITE 660 CITY: VANCOUVER STATE: WA ZIP: 98660 FORMER NAME: FORMER CONFORMED NAME: CARACCIOLO ANTHONY DATE OF NAME CHANGE: 20030807 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-05-31 0 0001175680 CytoDyn Inc. CYDY 0001258929 Caracciolo Anthony 1111 MAIN STREET, SUITE 660 VANCOUVER WA 98660 1 1 0 0 Executive Chairman Convertible Promissory Note 0.75 2017-05-31 4 A 0 1000000.00 A 2017-05-31 2018-01-31 Common Stock 1333333 1000000.00 I By Caracciolo Family Trust Warrants 1.35 2017-05-31 4 A 0 333333 A 2017-05-31 2022-05-31 Common Stock 333333 333333 I By Caracciolo Family Trust Subject to adjustment in the event of certain stock split or reverse stock split recapitalizations. Does not include additional shares issuable upon conversion of accrued interest. As part of a private offering to accredited investors, the reporting person purchased from the issuer for a combined price of $1.0 million (i) a $1.0 million convertible promissory note, bearing interest at 7.0% annually, which is convertible into shares of the issuer's common stock at an initial conversion price of $0.75 per share, and (ii) a warrant covering 25% of the number of shares underlying the convertible promissory note. /s/ Michael D. Mulholland, as attorney-in-fact 2017-06-02