Form D · Biotechnology
Rezolute, Inc.
Redwood City, CA · CIK 0001509261
Offering snapshot reported Oct 22, 2020 · SEC filing
- Reported sold
- $41M Offering amount: $57M
- Investors reported
- 12 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Oct 9, 2020 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Oct 22, 2020 | Initial | $41,000,000 | No comparison | 12 | SEC filing |
| Apr 24, 2018 | Amendment | $4,800,000 | $4,300,000vs Feb 15, 2018 | 34 | SEC filing |
| Feb 15, 2018 | Initial | $500,000 | No comparison | 1 | SEC filing |
| Feb 7, 2018 | Amendment | $3,360,000 | $0vs Feb 14, 2017 | 190 | SEC filing |
| Jan 11, 2018 | Initial | $137,868 | No comparison | 1 | SEC filing |
| May 31, 2017 | Initial | $6,726,190 | No comparison | 5 | SEC filing |
| Feb 14, 2017 | Initial | $3,360,000 | No comparison | 190 | SEC filing |
| Jul 13, 2016 | Initial | $5,362,521 | No comparison | 60 | SEC filing |
| Mar 22, 2016 | Amendment | $4,347,615 | $2,347,500vs Dec 21, 2015 | 11 | SEC filing |
| Dec 21, 2015 | Initial | $2,000,115 | No comparison | 6 | SEC filing |
| Apr 14, 2015 | Initial | $1,984,012 | No comparison | 14 | SEC filing |
| Jan 26, 2015 | Initial | $6,925,580 | No comparison | 73 | SEC filing |
| Apr 28, 2014 | Amendment | $8,931,433 | $1,634,980vs Apr 14, 2014 | 113 | SEC filing |
| Apr 14, 2014 | Initial | $7,296,453 | No comparison | 82 | SEC filing |
| Jan 14, 2014 | Initial | $1,420,000 | No comparison | 7 | SEC filing |
| May 17, 2011 | Initial | $6,000 | No comparison | 6 | SEC filing |
Offering details
- Securities
- Equity, Option to acquire, Security to be acquired, Other
- Exemptions
- 06b
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $2.46M
- Finders' fees
- $0
- Form D file number
- 021-378569
Aggregate offering includes amount that may be received by Issuer upon exercise of warrants. Each whole warrant may be exercised for one post-split common share at a price of $19.50 per share until October 9, 2027.
Units, each consisting of one common share and .33 of one warrant; each whole warrant is exercisable for one post-split common share at $19.50 per share
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Canaccord Genuity LLC | 1020 | |
| JMP Securities LLC | 22208 | |
| Griffin Securities, Inc. | 43229 |
Source: Form D, filed Oct 22, 2020. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Nir Bar | Director, Executive |
| Michael R. Deperro | Executive |
| Nevan Charles Elam | Director, Executive |
| Philippe Fauchet | Director |
| Morgan Lynn Fields | Executive |
| Steve R. Howe | Director |
| Hoyoung Huh | Director, Executive |
| Young Jin Kim | Director |
| Tae Hoon Kim | Director |
| Gil Labrucherie | Director |
| Noopur Batsha Liffick | Executive |
| Jung Hee Lim | Director |
| Sankaram Mantripragada | Executive |
| Samir R. Patel | Director |
| Brian Roberts | Executive |
| Barry Sherman | Director |
| Guy Turnowski | Director |
| Keith Vendola | Executive |
| David F. Welch | Director |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
201 Redwood Shores Pkwy, Suite 315
Redwood City, CA, 94065
Redwood City, CA, 94065