Rezolute CMO disposes shares for RSU tax withholding

Rezolute, Inc.’s Chief Medical Officer Brian Kenneth Roberts reported a mandatory share disposition tied to equity compensation.

Accepted by SEC EDGAR 03/04/2026 - 06:18 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Rezolute, Inc.’s Chief Medical Officer Brian Kenneth Roberts reported a mandatory share disposition tied to equity compensation. On the RSU vesting date, he disposed of 11,439 common shares to cover tax withholding obligations at a weighted average price of $2.99 per share, with individual sale prices ranging from $2.98 to $3.07. After this tax-withholding transaction, he directly holds 296,913 common shares and indirectly holds 15,500 common shares in an IRA.

Insider Trade Summary

Exercise Price or Tax Liability: 11,439 shares

Exercise Price or Tax Liability 1 txn

Insider ROBERTS BRIAN KENNETH

Role Chief Medical Officer

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Shares	11,439	$2.99	$34K
Holding	Common Shares	--	--	--

Holdings After Transaction: Common Shares — 296,913 shares (Direct); Common Shares — 15,500 shares (Indirect, Held in IRA)

Holdings Before and After: Common Shares, 308,352 to 296,913 shares (Direct)

Footnotes (2)

1. F1. The disposition reported on this Form 4 represents shares disposed of by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The disposition is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.
2. F2. The sale price reported above is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.98 to $3.07 inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did Rezolute (RZLT) report for Brian Kenneth Roberts?

Rezolute reported that Chief Medical Officer Brian Kenneth Roberts disposed of 11,439 common shares. The shares were sold automatically to satisfy tax withholding obligations triggered by the vesting and settlement of Restricted Stock Units, as required under the company’s sell-to-cover election.

Was the Rezolute CMO’s Form 4 share sale a discretionary trade?

No, the filing states the disposition did not represent a discretionary transaction by the CMO. Shares were sold pursuant to Rezolute’s election to fund tax withholding on RSU vesting through a mandatory sell-to-cover arrangement rather than a voluntary open-market sale.

How many Rezolute shares does the CMO hold after this Form 4 transaction?

Following the reported tax-withholding disposition, the CMO directly holds 296,913 Rezolute common shares. He also indirectly holds 15,500 additional common shares in an IRA account, reflecting his remaining equity stake after the RSU-related share sale to cover taxes.

At what price were the Rezolute shares sold to cover RSU taxes?

The weighted average sale price was reported as $2.99 per Rezolute share. Footnotes explain that the 11,439 shares were sold in multiple transactions at prices ranging from $2.98 to $3.07, with full trade details available upon request from the reporting person.

What does transaction code F mean in the Rezolute CMO’s Form 4?

Transaction code F indicates payment of an exercise price or tax liability by delivering securities. In this case, it reflects a sale of shares to cover tax withholding obligations arising from RSU vesting, rather than an ordinary discretionary purchase or sale by the insider.

How are the CMO’s indirect Rezolute holdings described in the Form 4?

The Form 4 shows an indirect ownership line with 15,500 Rezolute common shares held in an IRA. This line is marked as a holding entry without a transaction code, indicating the nature of ownership rather than a new purchase or sale on the reported date.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

ROBERTS BRIAN KENNETH

(Last) (First) (Middle)

C/O REZOLUTE, INC.

275 SHORELINE DRIVE, SUITE 500

(Street)

REDWOOD CITY CA 94065

(City) (State) (Zip)

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

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

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Medical Officer

3. Date of Earliest Transaction (Month/Day/Year)
03/02/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)

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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Shares	03/02/2026		F(1)		11,439	D	$2.99(2)	296,913	D
Common Shares								15,500	I	Held in IRA

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. The disposition reported on this Form 4 represents shares disposed of by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The disposition is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

2. The sale price reported above is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.98 to $3.07 inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

	/s/ Brian Kenneth Roberts	03/04/2026
	** 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 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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