0000899243-20-000854.txt : 20200108 0000899243-20-000854.hdr.sgml : 20200108 20200108203314 ACCESSION NUMBER: 0000899243-20-000854 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191008 FILED AS OF DATE: 20200108 DATE AS OF CHANGE: 20200108 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: 20516875 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 2019-10-08 0 0001175680 CytoDyn Inc. CYDY 0001748882 Klump Michael A 1111 MAIN STREET, SUITE 660 VANCOUVER WA 98660 1 0 0 0 Convertible Promissory Note 0.50 2019-10-08 4 D 0 500000 D 2019-01-08 2019-10-08 Common Stock 1000000 0.00 I See Footnote Convertible Promissory Note 0.50 2019-10-08 4 A 0 537397 A 2019-10-08 2020-04-01 Common Stock 1075758 537397.00 I See Footnote Warrant (Right to Buy) 0.30 2019-10-08 4 A 0 500000 A 2019-10-07 2024-10-08 Common Stock 500000 500000 I See Footnote 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 The Company recently completed a convertible promissory note exchange offer in which Argonne Trading participated, among other non-affiliated investors. Pursuant to the exchange offer, as an inducement to extend the maturity date of a certain convertible promissory note (the "Original Note") beneficially owned by Mr. Klump, the Company (i) issued a new convertible promissory note in the principal amount equal to the principal amount of the Original Note plus the accrued but unpaid interest thereon and (ii) issued a warrant to purchase shares of common stock covering fifty percent of the shares of common stock into which the principal amount of the Original Note was convertible. /s/ Michael D. Mulholland, as attorney-in-fact 2020-01-08