Amendment: SEC Form S-3/A filed by Rezolute Inc.
SECURITIES AND EXCHANGE COMMISSION
to
UNDER
THE SECURITIES ACT OF 1933
|
Nevada
(State or Other Jurisdiction of
Incorporation or Organization) |
| |
27-3440894
(I.R.S. Employer
Identification No.) |
|
Redwood City, CA 94065
(650) 206-4507
Chief Executive Officer
275 Shoreline Drive, Suite 500
Redwood City, CA 94065
Telephone: (650) 206-4507
Dorsey & Whitney LLP
1400 Wewatta St #400
Denver, CO 80202
(303) 629-3400
|
Large accelerated filer
☐
|
| |
Smaller reporting company
☒
|
|
|
Accelerated Filer
☐
|
| |
Emerging growth company
☐
|
|
|
Non-accelerated filer
☒
|
| |
|
SEC registration fee
|
| | | $ | 2,979 | | |
|
Legal fees and expenses
|
| | | | 25,000 | | |
|
Accounting fees and expenses
|
| | | | 15,000 | | |
|
Miscellaneous
|
| | | | 10,000 | | |
|
Total
|
| | | $ | 52,979 | | |
|
Exhibit
No. |
| |
Description
|
| |
Registrant’s
Form |
| |
Date
Filed |
| |
Exhibit
Number |
| |
Filed
Herewith |
|
| 2.1 | | | | |
Form S-3
|
| |
8/5/24
|
| |
2.1
|
| | | | |
| 4.1 | | | Amended and Restated Articles of Incorporation* | | |
8-K
|
| |
6/21/21
|
| |
3.3
|
| | | |
| 4.2 | | | Amended and Restated Bylaws* | | |
10-K
|
| |
9/15/21
|
| |
3.4
|
| | | |
| 4.3 | | | Form of Exchange Warrant* | | |
8-K
|
| |
3/14/24
|
| |
4.1
|
| | | |
| 5.1 | | | | | | | | | | | | | | | | |
| 23.1 | | | Consent of Dorsey & Whitney LLP (included in Exhibit 5.1). | | | | | | | | | | | | | |
| 23.2 | | | Consent of Plante & Moran, PLLC* | | |
Form S-3
|
| |
8/5/24
|
| |
23.2
|
| | | |
| 24 | | | | | | | | | | | | | |
X
|
| |
| 107 | | | Filing Fee Table filed herewith as EX-FILING FEES* | | |
Form S-3
|
| |
8/5/24
|
| |
107
|
| | | |
Chief Executive Officer
(Principal Executive and Financial Officer)
|
Signature
|
| |
Title
|
| |
Date
|
|
|
/s/ Nevan Elam
Nevan Elam
|
| | Chief Executive Officer and Acting Chair of the Board (Principal Executive) | | |
August 9, 2024
|
|
|
*
Daron Evans
|
| | Chief Financial Officer (Principal Financial Officer) | | |
August 9, 2024
|
|
|
*
Young-Jin Kim
|
| | Director | | |
August 9, 2024
|
|
|
*
Nerissa Kreher
|
| | Director | | |
August 9, 2024
|
|
|
*
Gil Labrucherie
|
| | Director | | |
August 9, 2024
|
|
|
*
Philippe Fauchet
|
| | Director | | |
August 9, 2024
|
|
|
*
Wladimir Hogenhuis
|
| | Director | | |
August 9, 2024
|
|
|
*By
Nevan Elam,
Attorney-in-Fact
|
| | |