UNITED STATES

 

SECURITIES AND EXCHANGE COMMISSION

 

WASHINGTON, DC 20549

 

 

 

FORM 8-K

 

 

 

CURRENT REPORT

 

Pursuant to Section 13 or 15(d) of the

 

Securities Exchange Act of 1934

 

Date of report (Date of earliest event reported):     October 19, 2021 (October 13, 2021)

 

 

 

REZOLUTE, INC.

 

(Exact Name of Registrant as Specified in Charter)

 

 

 

Nevada   001-39683   27-3440894
         

(State or Other Jurisdiction

 

of Incorporation)

 

(Commission

 

File Number)

 

(I.R.S. Employer

 

Identification No.)

 

201 Redwood Shores Pkwy, Suite 315, Redwood City, CA 94065

 

(Address of Principal Executive Offices, and Zip Code)

 

650-206-4507

 

Registrant’s Telephone Number, Including Area Code

 

Not Applicable

 

(Former Name or Former Address, if Changed Since Last Report)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

  ¨ Written communication pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

  ¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

  ¨ Pre-commencement communication pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

  ¨ Pre-commencement communication pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class Trading Symbol(s) Name of each exchange on which registered
Common Stock, par value $0.001 per share RZLT Nasdaq Capital Market

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2 of this chapter).

 

Emerging growth company ¨

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨

 

 

 

 

 

 

Item 7.01. Regulation FD Disclosure.

 

Rezolute, Inc. (“Rezolute”) presented information about RZ402 Phase 1 single dose study at the 2021 ASRS meeting.

 

Item 9.01.  Financial Statements and Exhibits

 

(d) Exhibits.

 

Exhibit   Description

 

99.1  Abstract presented at 2021 ASRS meeting

 

 

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

  REZOLUTE, INC.
     
     
DATE:  October 19, 2021 By: /s/ Nevan Elam
   

Nevan Elam

 

Chief Executive Officer