SC 13G: Rezolute, Inc.

AI Summary

SC 13G filing by Rezolute, Inc..

Risk Assessment

Risk Level: low

FAQ

Key Financial Figures

• $0.001 — ame of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securiti

Filing Documents

• tm248393d1_sc13g.htm (SC 13G) — 46KB
• 0001104659-24-032967.txt ( ) — 48KB

(a)

Item 1(a). Name of Issuer: REZOLUTE, INC. (the “Issuer”).

(b)

Item 1(b). Address of the Issuer's Principal Executive Offices: 275 Shoreline Drive, Suite 500, Redwood City, California 94065

(a)

Item 2(a). Name of Person Filing Nantahala Capital Management, LLC (“Nantahala”) Wilmot B. Harkey Daniel Mack (together the “Reporting Persons”)

(b)

Item 2(b). Address of Principal Business Office or, if None, Residence: 130 Main St. 2 nd Floor New Canaan, CT 06840

(c)

Item 2(c). Citizenship: Nantahala is a Massachusetts limited liability company. Each of Messrs. Harkey and Mack is a citizen of the United States of America.

(d)

Item 2(d). Title of Class of Securities: Common Stock, par value $0.001 per share (the “Shares”). CUSIP NO. 76200L309 Page 5 of 7

(e)

Item 2(e). CUSIP Number: 76200L309 Item 3. If this statement is filed pursuant Xto Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: (a) ¨ Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) ¨ Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) ¨ Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) ¨ Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8). (e) x An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E). (f) ¨ An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F). (g) x A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G). (h) ¨ A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813). (i) ¨ A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3). (j) ¨ Group, in accordance with §240.13d-1(b)(1)(ii)(J). Item 4.

(a)

Item 4(a). Amount Beneficially Owned: As of February 29, 2024, Nantahala may be deemed to be the beneficial owner of 4,118,164 Shares held by funds and separately managed accounts under its control, and as the managing members of Nantahala, each of Messrs. Harkey and Mack may be deemed to be a beneficial owner of those Shares. The 4,118,164 Shares includes 1,095,217 Shares which may be acquired by the Reporting Persons within sixty days through the conversion of warrants.

(b)

Item 4(b). Percent of Class: As of February 29, 2024, each of the Reporting Persons may be deemed to be the beneficial owner of 9.99% of the total number of Shares outstanding (based upon 41,222,864 Shares outstanding after giving effect to the 1,095,217 Shares issuable upon the conversion of the warrants and 40,127,647 shares outstanding as per Rezolute management). CUSIP NO. 76200L309 Page 6 of 7

(c)

Item 4(c). Number of shares as to which such person has: Nantahala Capital Management, LLC (i) Sole power to vote or direct the vote 0 (ii) Shared power to vote or to direct the vote 4,118,164 (iii) Sole power to dispose or to direct the disposition of 0 (iv) Shared power to dispose or to direct the disposition of 4,118,164 Each of Messrs. Harkey and Mack (i) Sole power to vote or direct the vote 0 (ii) Shared power to vote or to direct the vote 4,118,164 (iii) Sole power to dispose or to direct the disposition of 0 (iv) Shared power to dispose or to direct the disposition of 4,118,164 Item 5. This Item 5 is not applicable. Item 6. BLACKWELL PARTNERS LLC - SERIES A, a fund advised by Nantahala, has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of more than five percent of the outstanding shares of common stock beneficially owned by Nantahala reported herein. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company: Each of Messrs. Harkey and Mack is filing this Schedule 13G as a control person in respect of shares beneficially owned by Nantahala, an investment adviser as described in §240.13d-1(b)(1)(ii)(E). See Item 4(a). Item 8. Identification and Classification of Members of the Group: This Item 8 is not applicable. Item 9. Notice of Dissolution of Group: This Item 9 is not applicable. Item 10. Certification: By signing below each Reporting Person certifies that, to the best of such person's knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securit

SIGNATURES

SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete, and correct. Date: March 11, 2024 NANTAHALA CAPITAL MANAGEMENT, LLC By: /s/ Taki Vasilakis Taki Vasilakis Chief Compliance Officer /s/ Wilmot B. Harkey Wilmot B. Harkey /s/ Daniel Mack Daniel Mack

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