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Nevada
(State or Other Jurisdiction of
Incorporation or Organization) |
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27-3440894
(I.R.S. Employer
Identification No.) |
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Large accelerated filer
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Smaller reporting company
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Accelerated Filer
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Emerging growth company
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Non-accelerated filer
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Page
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| | | | S-1 | | | |
| | | | S-2 | | | |
| | | | S-3 | | | |
| | | | S-7 | | | |
| | | | S-9 | | | |
| | | | S-12 | | | |
| | | | S-13 | | | |
| | | | S-17 | | | |
| | | | S-18 | | | |
| | | | S-18 | | | |
| | | | S-18 | | |
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SEC registration fee
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| | | $ | 29,520 | | |
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FINRA filing fee
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| | | $ | 30,500 | | |
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Printing expenses
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| | | | ** | | |
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Legal fees and expenses
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Accounting fees and expenses
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| | | | ** | | |
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Fees and expenses of trustee and counsel
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| | | | ** | | |
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Rating Agency Fees
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| | | | ** | | |
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Miscellaneous
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| | | | ** | | |
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Total
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| | | $ | ** | | |
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Exhibit
No. |
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Description
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Registrant’s
Form |
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Date Filed
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Exhibit
Number |
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Filed
Herewith |
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| 1.1 | | | Form of Underwriting Agreement* | | | | | | | | | | | | | |
| 1.2 | | | | | | | | | | | | | | | | |
| 2.1 | | | | |
8-K
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6/21/21
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2.1
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| 3.1 | | | | |
8-K
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6/21/21
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3.1
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| 3.2 | | | | |
8-K
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6/21/21
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3.2
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| 3.3 | | | | |
8-K
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6/21/21
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3.3
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| 3.4 | | | | |
8-K
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6/17/22
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3.1
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| 3.5 | | | | |
10-K
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9/15/21
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3.4
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| 4.1 | | | | |
10-K
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9/14/23
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4.1
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| 4.2 | | | Form of Common Stock Certificate.* | | | | | | | | | | | | | |
| 4.3 | | | Form of Certificate of Designation of Preferences, Rights and Limitations of Preferred Stock.* | | | | | | | | | | | | | |
| 4.4 | | | Form of Preferred Stock Certificate.* | | | | | | | | | | | | | |
| 4.5 | | | Form of Warrant and Warrant Certificate.* | | | | | | | | | | | | | |
| 4.6 | | | | | | | | | | | | | | | | |
| 4.7 | | | Form of Senior Debt Security.* | | | | | | | | | | | | | |
| 4.8 | | | Form of Subordinated Debt Security.* | | | | | | | | | | | | | |
| 4.9 | | | Form of Purchase Contract Agreement.* | | | | | | | | | | | | | |
| 4.10 | | | Form of Depositary Agreement and Depositary Receipt.* | | | | | | | | | | | | | |
| 4.11 | | | Form of Subscription Certificate.* | | | | | | | | | | | | | |
| 4.12 | | | Form of Subscription Agent Agreement.* | | | | | | | | | | | | | |
| 4.13 | | | Form of Unit Agreement and Unit Certificate* | | | | | | | | | | | | | |
| 5.1 | | | | | | | | | | | | | | | | |
| 5.2 | | | | | | | | | | | | | | | | |
| 23.1 | | | Consent of Dorsey & Whitney LLP (to be included in Exhibit 5.1 and Exhibit 5.2).*** | | | | | | | | | | | | | |
| 23.2 | | | | | | | | | | | | | |
X
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Exhibit
No. |
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Description
|
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Registrant’s
Form |
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Date Filed
|
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Exhibit
Number |
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Filed
Herewith |
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| 24 | | | | | | | | | | | | | | | | |
| 25.1 | | | Form T-1 Statement of Eligibility under the Trust Indenture Act of 1939, as amended, of Trustee under the Indenture** | | | | | | | | | | | | | |
| 107 | | | | | | | | | | | | | | | |
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Signature
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Title
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Date
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/s/ Nevan Charles Elam
Nevan Charles Elam
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Chief Executive Officer and Acting Chairman of the Board
(Principal Executive and Financial Officer) |
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November 22, 2023
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/s/ *
Young-Jin Kim
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| | Director | | |
November 22, 2023
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/s/ *
Nerissa Kreher
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| | Director | | |
November 22, 2023
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/s/ *
Gil Labrucherie
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| | Director | | |
November 22, 2023
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/s/ *
Philippe Fauchet
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| | Director | | |
November 22, 2023
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/s/ *
Wladimir Hogenhuis
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| | Director | | |
November 22, 2023
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*By:
/s/ Nevan Charles Elam
Nevan Charles Elam,
Attorney-in-Fact |
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Exhibit 23.2
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
We hereby consent to the incorporation by reference in this Amendment No. 1 to the Registration Statement on Form S-3 (No. 333-275562) of Rezolute, Inc. of our report dated September 14, 2023 relating to the financial statements of Rezolute, Inc., which report appears in the Form 10-K dated September 14, 2023. We also consent to the reference to us under the heading “Experts” in the Prospectus, which is part of the registration statement.
/s/ Plante & Moran, PLLC
Cleveland, Ohio
November 22, 2023
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