0000899243-19-013098.txt : 20190510 0000899243-19-013098.hdr.sgml : 20190510 20190510172557 ACCESSION NUMBER: 0000899243-19-013098 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190508 FILED AS OF DATE: 20190510 DATE AS OF CHANGE: 20190510 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Klump Michael A CENTRAL INDEX KEY: 0001748882 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-49908 FILM NUMBER: 19816128 MAIL ADDRESS: STREET 1: ONE BUCKHEAD PLAZA, SUITE 400 STREET 2: 3060 PEACHTREE ROAD NW CITY: ATLANTA STATE: 2Q ZIP: 30305 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 2019-05-08 0 0001175680 CytoDyn Inc. CYDY 0001748882 Klump Michael A 1111 MAIN STREET, SUITE 660 VANCOUVER WA 98660 1 0 0 0 Common Stock 2019-05-08 4 M 0 1000000 0.40 A 8034520 I See Footnote Common Stock 2019-05-08 4 M 0 1933333 0.40 A 9967853 I See Footnote Common Stock 2019-05-08 4 M 0 500000 0.30 A 10467853 I See Footnote Common Stock 2019-05-08 4 M 0 66667 0.40 A 66667 I By the Klump Children's Gift Trust Common Stock 2019-05-08 4 M 0 125000 0.40 A 125000 D Common Stock 2019-05-08 4 A 0 1716666 A 12184519 I See Footnote Common Stock 2019-05-08 4 A 0 33333 A 100000 I By the Klump Children's Gift Trust Common Stock 2019-05-08 4 A 0 62500 A 187500 D Warrant (Right to Buy) 0.75 2019-05-08 4 D 0 1000000 D 2018-02-16 2023-02-16 Common Stock 1000000 0 I See Footnote Warrant (Right to Buy) 0.40 2019-05-08 4 A 0 1000000 A 2018-02-16 2023-02-16 Common Stock 1000000 1000000 I See Footnote Warrant (Right to Buy) 0.40 2019-05-08 4 M 0 1000000 0.00 D 2018-02-16 2023-02-16 Common Stock 1000000 0 I See Footnote Warrant (Right to Buy) 1.00 2019-05-08 4 D 0 1933333 D 2016-12-12 2021-12-12 Common Stock 1933333 0 I See Footnote Warrant (Right to Buy) 0.40 2019-05-08 4 A 0 1933333 A 2016-12-12 2021-12-12 Common Stock 1933333 1933333 I See Footnote Warrant (Right to Buy) 0.40 2019-05-08 4 M 0 1933333 0.00 D 2016-12-12 2021-12-12 Common Stock 1933333 0 I See Footnote Warrant (Right to Buy) 0.30 2019-05-08 4 M 0 500000 0.00 D 2019-01-08 2024-01-08 Common Stock 500000 0 I See Footnote Warrant (Right to Buy) 1.00 2019-05-08 4 D 0 66667 D 2016-12-12 2021-12-12 Common Stock 66667 0 I By the Klump Children's Gift Trust Warrant (Right to Buy) 0.40 2019-05-08 4 A 0 66667 A 2016-12-12 2021-12-12 Common Stock 66667 66667 I By the Klump Children's Gift Trust Warrant (Right to Buy) 0.40 2019-05-08 4 M 0 66667 0.00 D 2016-12-12 2021-12-12 Common Stock 66667 0 I By the Klump Children's Gift Trust Warrant (Right to Buy) 1.35 2019-05-08 4 D 0 125000 D 2016-04-26 2021-04-26 Common Stock 125000 0 D Warrant (Right to Buy) 0.40 2019-05-08 4 A 0 125000 A 2016-04-26 2021-04-26 Common Stock 125000 125000 D Warrant (Right to Buy) 0.40 2019-05-08 4 M 0 125000 0.00 D 2016-04-26 2021-04-26 Common Stock 125000 0 D The reported securities of CytoDyn Inc. (the "Company") are held by Argonne Trading, LLC, a Georgia limited liability company ("Argonne Trading"). Argonne Capital Group, LLC, a Georgia limited liability company ("Argonne Capital"), is the sole member of Argonne Trading. Michael A. Klump is Manager, President and Chief Executive Officer of Argonne Capital. Mr. Klump disclaims beneficial ownership of the securities held by Argonne Trading, except to the extent of his pecuniary interest therein. On May 8, 2019, the Company entered into Warrant Exercise Agreements with Mr. Klump, Argonne Capital and the Klump Children's Gift Trust, among other non-affiliated investors, pursuant to which, as an inducement to immediately exercise certain warrants (the "Warrants") to purchase shares of the Company's common stock, par value $0.001 per share ("Common Stock") beneficially owned by Mr. Klump, the Company (i) reduced the exercise price of such Warrants to $0.40 (if lower than the existing exercise price) and (ii) agreed to issue an additional one-half share of Common Stock for each share of Common Stock underlying the Warrants. /s/ Michael D. Mulholland, as attorney-in-fact 2019-05-10