Brian Kenneth Roberts Form 3/A Rezolute / BRIAN KENNETH ROBERTS ownership change

SEC Form 3

FORM 3

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

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

ROBERTS BRIAN KENNETH

(Last) (First) (Middle)

C/O REZOLUTE, INC.

201 REDWOOD SHORES PARKWAY, SUITE 315

(Street)

REDWOOD CITY CA 94065

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
10/23/2020

3. Issuer Name and Ticker or Trading Symbol
Rezolute, Inc. [ RZLT ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Sr VP, Clinic Development

5. If Amendment, Date of Original Filed (Month/Day/Year)
10/30/2020

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Employee Stock Option (Right to Buy)	(1)	03/25/2021	Common Shares	3,400	156	D
Employee Stock Option (Right to Buy)	(2)	04/12/2027	Common Shares	9,000	52.5	D
Employee Stock Option (Right to Buy)	(3)	07/30/2029	Common Shares	40,000	14.5	D
Employee Stock Option (Right to Buy)	(4)	07/30/2029	Common Shares	20,000	14.5	D

Explanation of Responses:

1. The options were granted on March 26, 2014, and were fully vested on March 26, 2018.

2. The options were granted on April 13, 2017, and vest in equal monthly installments over 48 months.

3. The options were granted on July 31, 2019, and vest as follows: 25% of the options vested on July 31, 2019; the remaining options vest in equal monthly installments over 36 months.

4. The options are subject to certain conditions, including the closing stock price of the Issuer's common shares. Subject to meeting share price criteria, the options shall vest in equal monthly installments over a period of 36 months.

	/s/ Brian Kenneth Roberts	11/04/2020
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
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