0000899243-17-016914.txt : 20170621 0000899243-17-016914.hdr.sgml : 20170621 20170621213050 ACCESSION NUMBER: 0000899243-17-016914 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170619 FILED AS OF DATE: 20170621 DATE AS OF CHANGE: 20170621 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: 17923901 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 2017-06-19 0 0001175680 CytoDyn Inc. CYDY 0001258929 Caracciolo Anthony 1111 MAIN STREET, SUITE 660 VANCOUVER WA 98660 1 1 0 0 Executive Chairman Warrants 1.00 2017-06-19 4 A 0 666666 A 2017-05-31 2022-05-31 Common Stock 666666 666666 I By Caracciolo Family Trust Warrants 1.35 2017-06-19 4 D 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. As part of a private offering to accredited investors, on May 31, 2017, 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, with an exercise price of $1.35 per share. Effective June 19, 2017, the issuer amended the terms of the offering to increase the warrant coverage from 25% to 50% and to decrease the warrant exercise price from $1.35 to $1.00. As reflected in this Form 4, the issuer applied such amended terms retroactively to all warrants previously purchased in the offering. /s/ Michael D. Mulholland, as attorney-in-fact 2017-06-21