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Rezolute insider Form 4 shows new RSU and option awards

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Rezolute, Inc. (RZLT) reported an equity award to its Chief Medical Officer, Brian Kenneth Roberts, in a Form 4 filing. On 11/19/2025, he received 123,000 restricted stock units (RSUs) of Rezolute common shares at a price of $0. These RSUs vest annually over three years, with the first portion vesting on December 1, 2026.

On the same date, he was also granted an employee stock option covering 72,000 common shares at an exercise price of $10.16 per share. These options vest at a rate of 1/36th monthly beginning on December 19, 2025 and expire on 11/19/2035. After these transactions, Roberts beneficially owned 280,352 common shares directly, plus 15,500 shares held indirectly in an IRA, and 72,000 stock options.

Positive

  • None.

Negative

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Insider ROBERTS BRIAN KENNETH
Role Chief Medical Officer
Type Security Shares Price Value
derivative Employee Stock Option (Right to Buy) 72,000 $0.00 --
Grant/Award Common Shares 123,000 $0.00 --
holding Common Shares -- -- --
Holdings After Transaction: Employee Stock Option (Right to Buy) — 72,000 shares (Direct); Common Shares — 280,352 shares (Direct); Common Shares — 15,500 shares (Indirect, Held in IRA)
Footnotes (1)
  1. Represents grant of restricted stock units which vest annually over a three-year period with the first RSUs vesting on December 1, 2026. The options vest 1/36th monthly beginning on December 19, 2025.
Form 4 Insider Transactions: What Each Field Means →
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)
11/19/2025
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 11/19/2025 A 123,000(1) A $0 280,352 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
Employee Stock Option (Right to Buy) $10.16 11/19/2025 72,000 (2) 11/19/2035 Common Shares 72,000 $0 72,000 D
Explanation of Responses:
1. Represents grant of restricted stock units which vest annually over a three-year period with the first RSUs vesting on December 1, 2026.
2. The options vest 1/36th monthly beginning on December 19, 2025.
/s/ Brian Kenneth Roberts 11/21/2025
** 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.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Rezolute (RZLT) report in this Form 4?

The Form 4 reports that Rezolute’s Chief Medical Officer, Brian Kenneth Roberts, received equity awards on 11/19/2025, including restricted stock units and stock options linked to Rezolute common shares.

How many restricted stock units did the Rezolute (RZLT) CMO receive?

Brian Kenneth Roberts received 123,000 restricted stock units (RSUs) of Rezolute common shares at a grant price of $0. These RSUs vest annually over three years.

What are the vesting terms for the Rezolute (RZLT) RSU grant?

The 123,000 RSUs vest annually over a three-year period, with the first RSUs vesting on December 1, 2026. The remaining portions vest in subsequent years on an annual schedule.

What stock options were granted to the Rezolute (RZLT) Chief Medical Officer?

He was granted an employee stock option for 72,000 common shares with an exercise price of $10.16 per share. The options expire on 11/19/2035.

How do the Rezolute (RZLT) stock options vest for the CMO?

The 72,000 stock options vest at a rate of 1/36th monthly, beginning on December 19, 2025, meaning the total grant becomes fully vested over three years from that date.

How many Rezolute (RZLT) shares does the CMO beneficially own after the transactions?

Following the reported transactions, Brian Kenneth Roberts beneficially owned 280,352 Rezolute common shares directly, 15,500 shares held indirectly in an IRA, and 72,000 stock options to purchase additional common shares.

What is the relationship of the reporting person to Rezolute (RZLT)?

The reporting person, Brian Kenneth Roberts, is an officer of Rezolute, Inc., serving as the company’s Chief Medical Officer, and he filed this Form 4 as a single reporting person.