Rezolute, Inc S-3, filed Nov 14, 2023

Rezolute, Inc. (RZLT)

S-3 2023-11-14

Added on October 22, 2026

	Page
ABOUT THIS PROSPECTUS		1
SPECIAL NOTE REGARDING FORWARD-LOOKING STATEMENTS		2
THE COMPANY		3
RISK FACTORS		7
USE OF PROCEEDS		10
DESCRIPTION OF DEBT SECURITIES		11
DESCRIPTION OF CAPITAL STOCK		18
DESCRIPTION OF WARRANTS		20
DESCRIPTION OF PURCHASE CONTRACTS		26
DESCRIPTION OF DEPOSITARY SHARES		27
PLAN OF DISTRIBUTION		31
WHERE YOU CAN FIND MORE INFORMATION		35
INCORPORATION BY REFERENCE		35
LEGAL MATTERS		37
EXPERTS		37

	Page
ABOUT THIS PROSPECTUS		S-1
FORWARD-LOOKING STATEMENTS		S-2
PROSPECTUS SUMMARY		S-3
THE OFFERING		S-7
RISK FACTORS		S-9
USE OF PROCEEDS		S-12
MATERIAL U.S. TAX CONSEQUENCES FOR NON-U.S. HOLDERS OF COMMON STOCK		S-13
PLAN OF DISTRIBUTION		S-17
LEGAL MATTERS		S-18
EXPERTS		S-18
WHERE YOU CAN FIND ADDITIONAL INFORMATION		S-18

SEC registration fee	$	29,520
FINRA filing fee	$	30,500
Printing expenses		**
Legal fees and expenses		**
Accounting fees and expenses		**
Fees and expenses of trustee and counsel		**
Rating Agency Fees		**
Miscellaneous		**
Total	$	**

Signature	Title	Date
/s/ Nevan Charles Elam Nevan Charles Elam	Chief Executive Officer and Acting Chairman of the Board (Principal Executive and Financial Officer)	November 14, 2023
/s/ Young-Jin Kim Young-Jin Kim	Director	November 14, 2023
/s/ Nerissa Kreher Nerissa Kreher	Director	November 14, 2023
/s/ Gil Labrucherie Gil Labrucherie	Director	November 14, 2023
/s/ Philippe Fauchet Philippe Fauchet	Director	November 14, 2023
/s/ Wladimir Hogenhuis Wladimir Hogenhuis	Director	November 14, 2023

Very truly yours,

REZOLUTE, INC.

By:	/s/ Nevan Charles Elam
	Name:	Nevan Charles Elam
	Title:	President & Chief Executive Officer

$

Number of days in selling period:

First date of selling period:

Last date of selling period:

		Page

article 1	DEFINITIONS	1

Section 1.01	Definitions of Terms	1

article 2	ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES	4

Section 2.01	Designation and Terms of Securities	4

Section 2.02	Form of Securities and Trustee’s Certificate	6

Section 2.03	Denominations: Provisions for Payment	6

Section 2.04	Execution and Authentications	7

Section 2.05	Registration of Transfer and Exchange	8

Section 2.06	Temporary Securities	9

Section 2.07	Mutilated, Destroyed, Lost or Stolen Securities	9

Section 2.08	Cancellation	10

Section 2.09	Benefits of Indenture	10

Section 2.10	Authenticating Agent	10

Section 2.11	Global Securities	10

Section 2.12	CUSIP Numbers	11

article 3	REDEMPTION OF SECURITIES AND SINKING FUND PROVISIONS	11

Section 3.01	Redemption	11

Section 3.02	Notice of Redemption	11

Section 3.03	Payment Upon Redemption	12

Section 3.04	Sinking Fund	13

Section 3.05	Satisfaction of Sinking Fund Payments with Securities	13

Section 3.06	Redemption of Securities for Sinking Fund	13

article 4	COVENANTS	13

Section 4.01	Payment of Principal, Premium and Interest	13

Section 4.02	Maintenance of Office or Agency	14

Section 4.03	Paying Agents	14

Section 4.04	Appointment to Fill Vacancy in Office of Trustee	14

article 5	SECURITYHOLDERS’ LISTS AND REPORTS BY THE COMPANY AND THE TRUSTEE	15

Section 5.01	Company to Furnish Trustee Names and Addresses of Securityholders	15

Section 5.02	Preservation of Information; Communications With Securityholders	15

Section 5.03	Reports by the Company	15

Section 5.04	Reports by the Trustee	16

article 6	REMEDIES OF THE TRUSTEE AND SECURITYHOLDERS ON EVENT OF DEFAULT	16

Section 6.01	Events of Default	16

Section 6.02	Collection of Indebtedness and Suits for Enforcement by Trustee	17

Section 6.03	Application of Moneys Collected	18

Section 6.04	Limitation on Suits	19

Section 6.05	Rights and Remedies Cumulative; Delay or Omission Not Waiver	19

Section 6.06	Control by Securityholders	19

Section 6.07	Undertaking to Pay Costs	20

article 7	CONCERNING THE TRUSTEE	20

Section 7.01	Certain Duties and Responsibilities of Trustee	20

Section 7.02	Certain Rights of Trustee	21

Section 7.03	Trustee Not Responsible for Recitals or Issuance or Securities	22

Section 7.04	May Hold Securities	23

Section 7.05	Moneys Held in Trust	23

Section 7.06	Compensation and Reimbursement	23

Section 7.07	Reliance on Officer’s Certificate	23

Section 7.08	Disqualification; Conflicting Interests	24

Section 7.09	Corporate Trustee Required; Eligibility	24

Section 7.10	Resignation and Removal; Appointment of Successor	24

Section 7.11	Acceptance of Appointment By Successor	25

Section 7.12	Merger, Conversion, Consolidation or Succession to Business	26

Section 7.13	Preferential Collection of Claims Against the Company	26

Section 7.14	Notice of Default.	26

article 8	CONCERNING THE SECURITYHOLDERS	26

Section 8.01	Evidence of Action by securityholders	26

Section 8.02	Proof of Execution by Securityholders	27

Section 8.03	Who May be Deemed Owners	27

Section 8.04	Certain Securities Owned by Company Disregarded	27

Section 8.05	Actions Binding on Future Securityholders	28

article 9	SUPPLEMENTAL INDENTURES	28

Section 9.01	Supplemental Indentures Without the Consent of Securityholders	28

Section 9.02	Supplemental Indentures With Consent of Securityholders	29

Section 9.03	Effect of Supplemental Indentures	29

Section 9.04	Securities Affected by Supplemental Indentures	29

Section 9.05	Execution of Supplemental Indentures	29

article 10	SUCCESSOR ENTITY	30

Section 10.01	Company May Consolidate, Etc.	30

Section 10.02	Successor Entity Substituted	30

article 11	SATISFACTION AND DISCHARGE	31

Section 11.01	Satisfaction and Discharge of Indenture	31

Section 11.02	Discharge of Obligations	31

Section 11.03	Deposited Moneys to be Held in Trust	31

Section 11.04	Payment of Moneys Held by Paying Agents	31

Section 11.05	Repayment to Company	32

article 12	IMMUNITY OF INCORPORATORS, STOCKHOLDERS, OFFICERS AND DIRECTORS	32

Section 12.01	No Recourse	32

article 13	MISCELLANEOUS PROVISIONS	32

Section 13.01	Effect on Successors and Assigns	32

Section 13.02	Actions by Successor	32

Section 13.03	Surrender of Company Powers	32

Section 13.04	Notices	33

Section 13.05	Governing Law; Jury Trial Waiver	33

Section 13.06	Treatment of Securities as Debt	33

Section 13.07	Certificates and Opinions as to Conditions Precedent	33

Section 13.08	Payments on Business Days	33

Section 13.09	Conflict with Trust Indenture Act	33

Section 13.10	Counterparts	34

Section 13.11	Separability	34

Section 13.12	Compliance Certificates	34

Section 13.13	U.S.A Patriot Act	34

Section 13.14	Force Majeure	34

Section 13.15	Table of Contents; Headings	34

Section of Trust Indenture Act of 1939, as Amended		Section of Indenture
310(a)		7.09
310(b)		7.08
		7.10
311(a)		7.13
311(b)		7.13
312(a)		5.01
		5.02(a)
312(b)		5.02(c)
312(c)		5.02(c)
313(a)		5.04(a)
313(b)		5.04(b)
313(c)		5.04(a)
		5.04(b)
313(d)		5.04(c)
314(a)		5.03
		13.12
314(b)		Inapplicable
314(c)		13.07(a)
314(d)		Inapplicable
314(e)		13.07(b)
314(f)		Inapplicable
315(a)		7.01(a)
		7.01(b)
315(b)		7.14
315(c)		7.01
315(d)		7.01(b)
315(e)		6.07
316(a)		6.06
		8.04
316(b)		6.04
316(c)		8.01
317(a)		6.02
317(b)		4.03
318(a)		13.09


	(1)	This Cross-Reference Table does not constitute part of the Indenture and shall not have any bearing on the interpretation of any of its terms or provisions.

Settlement Date(s) if other than standard T+2 settlement: