0000899243-19-017093.txt : 20190614 0000899243-19-017093.hdr.sgml : 20190614 20190614181447 ACCESSION NUMBER: 0000899243-19-017093 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190612 FILED AS OF DATE: 20190614 DATE AS OF CHANGE: 20190614 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: 19900046 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 2019-06-12 0 0001175680 CytoDyn Inc. CYDY 0001618149 DOCKERY CARL 1111 MAIN STREET, SUITE 660 VANCOUVER WA 98660 1 0 0 0 Common Stock 2019-06-12 4 M 0 75000 0.40 A 7422326 I See Footnote Common Stock 2019-06-12 4 M 0 1000000 0.40 A 8422326 I See Footnote Common Stock 2019-06-12 4 M 0 33333 0.30 A 8455659 I See Footnote Common Stock 2019-06-12 4 M 0 250000 0.40 A 8705659 I See Footnote Common Stock 2019-06-12 4 M 0 66667 0.40 A 8772326 I See Footnote Common Stock 2019-06-12 4 A 0 712499 A 9484825 I See Footnote Warrant (Right to Buy) 0.50 2019-06-12 4 D 0 75000 D 2015-02-16 2020-02-28 Common Stock 75000 0 I See Footnote Warrant (Right to Buy) 0.40 2019-05-08 4 A 0 75000 A 2015-02-16 2020-02-28 Common Stock 75000 75000 I See Footnote Warrant (Right to Buy) 0.40 2019-05-08 4 M 0 75000 0.00 D 2015-02-16 2020-02-28 Common Stock 75000 0 I See Footnote Warrant (Right to Buy) 0.68 2019-06-12 4 D 0 1000000 D 2015-06-24 2020-06-24 Common Stock 1000000 0 I See Footnote Warrant (Right to Buy) 0.40 2019-06-12 4 A 0 1000000 A 2015-06-24 2020-06-24 Common Stock 1000000 1000000 I See Footnote Warrant (Right to Buy) 0.40 2019-06-12 4 M 0 1000000 0.00 D 2015-06-24 2020-06-24 Common Stock 1000000 0 I See Footnote Warrant (Right to Buy) 1.00 2019-06-12 4 D 0 33333 D 2017-07-28 2022-07-28 Common Stock 33333 0 I See Footnote Warrant (Right to Buy) 0.40 2019-06-12 4 A 0 33333 A 2017-07-28 2022-07-28 Common Stock 33333 33333 I See Footnote Warrant (Right to Buy) 0.40 2019-06-12 4 M 0 33333 0.00 D 2017-07-28 2022-07-28 Common Stock 33333 0 I See Footnote Warrant (Right to Buy) 0.50 2019-06-12 4 D 0 250000 D 2014-09-26 2019-12-31 Common Stock 250000 0 I See Footnote Warrant (Right to Buy) 0.40 2019-06-12 4 A 0 250000 A 2014-09-26 2019-12-31 Common Stock 250000 250000 I See Footnote Warrant (Right to Buy) 0.40 2019-06-12 4 M 0 250000 0.00 D 2014-09-26 2019-12-31 Common Stock 250000 0 I See Footnote Warrant (Right to Buy) 0.75 2019-06-12 4 D 0 66667 D 2018-01-31 2023-01-31 Common Stock 66667 0 I See Footnote Warrant (Right to Buy) 0.40 2019-06-12 4 A 0 66667 A 2018-01-31 2023-01-31 Common Stock 66667 66667 I See Footnote Warrant (Right to Buy) 0.40 2019-06-12 4 M 0 66667 0.00 D 2018-01-31 2023-01-31 Common Stock 66667 0 I See Footnote The reported securities are held by Alpha Venture Capital Partners, L.P. ("AVCP"). Carl Dockery is the sole member of Alpha Advisors, LLC, the investment advisor for AVCP, and is the managing member of Alpha Venture Capital Management, LLC, the general partner of AVCP. Mr. Dockery disclaims beneficial ownership of the securities held by AVCP, except to the extent of his pecuniary interest in such securities. On June 12, 2019, the Company completed a Warrant Tender Offer in which AVCP participated, 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 AVCP, 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 2019-06-14