0000899243-17-019349.txt : 20170731 0000899243-17-019349.hdr.sgml : 20170731 20170731174022 ACCESSION NUMBER: 0000899243-17-019349 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170728 FILED AS OF DATE: 20170731 DATE AS OF CHANGE: 20170731 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DOCKERY CARL CENTRAL INDEX KEY: 0001618149 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-49908 FILM NUMBER: 17994021 MAIL ADDRESS: STREET 1: P.O. BOX 2477 CITY: LAKELAND STATE: FL ZIP: 33806-2477 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-07-28 0 0001175680 CytoDyn Inc. CYDY 0001618149 DOCKERY CARL 1111 MAIN STREET, SUITE 660 VANCOUVER WA 98660 1 0 0 0 Convertible Promissory Note 0.75 2017-07-28 4 A 0 50000 A 2017-07-28 2018-01-31 Common Stock 66666 50000 I See footnote Warrants 1.00 2017-07-28 4 A 0 33333 A 2017-07-28 2022-07-28 Common Stock 33333 33333 I See footnote 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, Alpha Venture Capital Partners, LP ("AVCP") purchased from the issuer for a combined price of $50,000 (i) a $50,000 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 50% of the number of shares underlying the convertible promissory note, at an exercise price of $1.00 per share. The reporting person is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP, and the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. The reporting person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest in such securities. /s/ Michael D. Mulholland, as attorney-in-fact 2017-07-31