Form: NT 10-K

Notice under Rule 12b25 of inability to timely file all or part of a Form 10-K, 10-KSB, or 10-KT

September 29, 2020

 

  UNITED STATES    
  SECURITIES AND EXCHANGE COMMISSION    
  Washington, D.C. 20549    
     

SEC FILE NUMBER

000-54495
  FORM 12b-25  

CUSIP NUMBER

76200L101
       
  NOTIFICATION OF LATE FILING    

 

(Check one): x Form 10-K ¨ Form 20-F ¨ Form 11-K ¨ Form 10-Q ¨ Form 10-D ¨ Form N-CEN
  ¨ Form N-CSR          

 

For Period Ended: June 30, 2020                                 

¨ Transition Report on Form 10-K

¨ Transition Report on Form 20-F

¨ Transition Report on Form 11-K

¨ Transition Report on Form 10-Q

For the Transition Period Ended: ____________________________________________________________

 

Nothing in this form shall be construed to imply that the Commission has verified any information contained herein.

 

If the notification relates to a portion of the filing checked above, identify the Item(s) to which the notification relates:

 

 

PART I — REGISTRANT INFORMATION

 

 

Rezolute, Inc.

Full Name of Registrant

 

 

Former Name if Applicable

 

201 Redwood Shores Parkway, Suite 315

Address of Principal Executive Office (Street and Number)

 

Redwood City, CA 94065

City, State and Zip Code

 

PART II — RULES 12b-25(b) AND (c)

 

If the subject report could not be filed without unreasonable effort or expense and the registrant seeks relief pursuant to Rule 12b-25(b), the following should be completed. (Check box if appropriate)

 

  (a) The reason described in reasonable detail in Part III of this form could not be eliminated without unreasonable effort or expense;
 x (b) The subject annual report, semi-annual report, transition report on Form 10-K, Form 20-F, Form 11-K, Form N-CEN or Form N-CSR, or portion thereof, will be filed on or before the fifteenth calendar day following the prescribed due date; or the subject quarterly report or transition report on Form 10-Q or subject distribution report on Form 10-D, or portion thereof, will be filed on or before the fifth calendar day following the prescribed due date; and
     
  (c) The accountant’s statement or other exhibit required by Rule 12b-25(c) has been attached if applicable.

 

 

 

 

PART III — NARRATIVE

 

State below in reasonable detail why Forms 10-K, 20-F, 11-K, 10-Q, 10-D, N-CEN, N-CSR, or the transition report or portion thereof, could not be filed within the prescribed time period.

 

Rezolute, Inc. (the “Company”) is filing this Form 12b-25 with the Securities and Exchange Commission (the “Commission”) to postpone the filing of its Annual Report on Form 10-K for the annual period ended June 30, 2020 (the “Form 10-K”) beyond September 28, 2020, the prescribed due date for such filing. The postponement allows for additional time to finalize financial statements due to the additional workload created by the Company’s progress in implementing its business plans and to accommodate scheduling needs related to COVID-19. The Company is filing this notification of Late Filing to provide additional time to finalize the Form 10-K. The Company is unable to complete and file the Form 10-K by September 28, 2020 without unreasonable effort or expense. The Company expects to file the Form 10-K with the Commission no later than fifteen calendar days after the original prescribed date, as permitted by Rule 12b-25.

 

PART IV — OTHER INFORMATION

 

(1) Name and telephone number of person to contact in regard to this notification

 

Keith Vendola   650   206-4507
(Name)    (Area Code)    (Telephone Number)

  

(2) Have all other periodic reports required under Section 13 or 15(d) of the Securities Exchange Act of 1934 or Section 30 of the Investment Company Act of 1940 during the preceding 12 months or for such shorter period that the registrant was required to file such report(s) been filed? If answer is no, identify report(s). Yes x No ¨

 

(3) Is it anticipated that any significant change in results of operations from the corresponding period for the last fiscal year will be reflected by the earnings statements to be included in the subject report or portion thereof? Yes x No ¨

 

If so, attach an explanation of the anticipated change, both narratively and quantitatively, and, if appropriate, state the reasons why a reasonable estimate of the results cannot be made.

 

Explanation of Significant Changes in Results of Operations. The Company expects to report a net loss of approximately $20.3 million for the fiscal year ended June 30, 2020, compared to a net loss of $30.4 million for the fiscal year ended June 30, 2019.

 

 

Rezolute, Inc.

 

(Name of Registrant as Specified in Charter)

 

has caused this notification to be signed on its behalf by the undersigned hereunto duly authorized.

 

Date: September 29, 2020                             By: /s/ Keith Vendola
    Keith Vendola
    Chief Financial Officer