UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrant (Right to Buy) | 04/26/2016 | 04/26/2021 | Common Stock | 125,000 | $ 1.35 | D | Â |
Warrant (Right to Buy) | 12/12/2016 | 12/12/2021 | Common Stock | 1,933,333 | $ 1 | I | See Footnote (1) |
Warrant (Right to Buy) | 02/16/2018 | 02/16/2023 | Common Stock | 1,000,000 | $ 0.75 | I | See Footnote (1) |
Warrant (Right to Buy) | 12/12/2016 | 12/12/2021 | Common Stock | 66,667 | $ 1 | I | By The Klump Children's Gift Trust |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Klump Michael A 1111 MAIN STREET, SUITE 660 VANCOUVER, WA 98660 |
 X |  |  |  |
/s/ Michael D. Mulholland, as attorney-in-fact | 08/14/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | 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. |
 Remarks: Exhibit List: Exhibit 24 - Power of Attorney |