Delaware
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000-54495
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27-3440894
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(State or Other Jurisdiction
of Incorporation) |
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(Commission File Number)
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(I.R.S. Employer
Identification No.) |
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570 El Camino Road Suite 150-403
Redwood City, California
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94063 |
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(Address of Principal Executive Offices)
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(Zip Code)
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☐
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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☐
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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☐
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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i.
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The representations and warranties of the Company contained in the Purchase Agreement were true as of the closing of the Series AA
Financing.
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ii.
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The Purchasers shall have received the written resignations effective as of the closing of the Series AA Financing of Hoyoung Huh,
David Welch, Tae Hoon Kim and Samir Patel from the Company’s board of directors.
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iii.
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The Company shall have filed a Certificate of Designations with the Secretary of State of the State of Delaware designating the rights
and preferences of the Offered Shares.
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i.
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The representations and warranties of each Purchaser contained in the Purchase Agreement were true as of the closing of the Series AA
Financing.
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ii.
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The Company shall have received the purchase price.
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iii.
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The Company shall have received a waiver from XOMA (US) LLC to the terms of the License Agreement dated, December 6, 2018.
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REZOLUTE, INC.
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Date: January 11, 2019
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By:
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/s/ Keith Vendola
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Name: Keith Vendola
Title: Chief Financial Officer |