Rezolute (RZLT) Registration Filing summary

Offering details and pricing

• Registration statement covers resale of up to 4,500,000 shares of common stock by certain selling stockholders, including shares issued under a securities purchase agreement and shares issuable upon exercise of pre-funded warrants.

• Shares include 1,500,000 issued under a June 25, 2024 purchase agreement, 610,404 issued upon partial warrant exercise, and 2,389,596 issuable upon future warrant exercise.

• Shares are validly issued, fully paid, and non-assessable; future warrant shares will be validly issued upon exercise and payment.

Use of proceeds and capital allocation

• Registration is for resale by selling stockholders; proceeds from sales by these stockholders will not go to the company.

Risk factors and disclosures

• Directors and officers are indemnified to the fullest extent permitted by Nevada law, with limitations for intentional misconduct, fraud, or knowing violations of law.

• Indemnification agreements are in place for directors and executive officers, and an insurance policy covers certain liabilities.

• SEC has advised that indemnification for Securities Act liabilities may be unenforceable as against public policy.