0000899243-18-029164.txt : 20181116 0000899243-18-029164.hdr.sgml : 20181116 20181116173034 ACCESSION NUMBER: 0000899243-18-029164 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170619 FILED AS OF DATE: 20181116 DATE AS OF CHANGE: 20181116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Caracciolo Anthony CENTRAL INDEX KEY: 0001258929 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-49908 FILM NUMBER: 181190769 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 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/A 1 doc4a.xml FORM 4/A SUBMISSION X0306 4/A 2017-06-19 2017-06-21 1 0001175680 CytoDyn Inc. CYDY 0001258929 Caracciolo Anthony 1111 MAIN STREET, SUITE 660 VANCOUVER WA 98660 1 1 0 0 Executive Chairman Warrants 1.35 2017-06-19 4 D 0 333333 D 2017-05-31 2022-05-31 Common Stock 333333 0 I By Caracciolo Family Trust This report is being filed to correct certain inadvertent errors, to report (i) the warrant issued May 31, 2017 as disposed of (and not acquired) in the transaction, in Column 5, and (ii) the number of such derivative securities beneficially owned following the transaction as zero (and not 333,333), in Column 9. 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. /s/ Michael D. Mulholland, as attorney-in-fact 2018-11-16