Rezolute, Inc. (RZLT) SEC Filings, Jun-Sep 2025

Rezolute, Inc. reported that it has reached alignment with the U.S. Food and Drug Administration on the design of its ongoing Phase 3 trial of Ersodetug in tumor hyperinsulinism. This means the company and the regulator are now on the same page about how the late-stage study should be run, which is an important step for advancing the program.

The company also updated its corporate presentation to incorporate new information from the upLIFT study. These materials were shared through a press release and an investor presentation that are attached as exhibits to this current report.

Rezolute, Inc. (RZLT) Form 4 shows the company granted equity to its Chief Commercial Officer, Sunil Ratilal Karnawat. On 08/18/2025 Karnawat was awarded 25,000 restricted stock units that vest in four equal annual installments beginning 09/01/2026. The filing also reports an employee stock option grant to purchase 275,000 common shares at an exercise price of $6.55 per share, exercisable under a vesting schedule beginning one year after grant and completing monthly thereafter, with an expiration on 08/18/2035. Following the reported transactions, Karnawat directly beneficially owns 27,442 common shares and indirectly holds 8,000 shares in an IRA and 1,898 shares in an HSA. The Form 4 was signed by Karnawat on 08/27/2025.

Rezolute, Inc. (RZLT) Form 3 filed for Sunil Ratilal Karnawat reports initial beneficial ownership disclosures for an officer serving as Chief Commercial Officer. The filing shows 2,442 common shares held directly, plus 8,000 common shares held indirectly in an IRA and 1,898 common shares held indirectly in a Health Savings Account, for a total of 12,340 shares reported. The filing is signed and dated by the reporting person.

Rezolute, Inc. filed an Form 8-K reporting a material corporate event under Item 5.02: the election or appointment of a Chief Commercial Officer. The filing references a press release dated August 20, 2025 and is signed by Chief Executive Officer Nevan Charles Elam. The submission also includes standard cover and interactive data references for the Inline XBRL document and cites communications rules for solicitations and pre-commencement communications under the Securities Act and Exchange Act.

The filing provides notice of an executive appointment but does not disclose the appointee's name, compensation, start date, or other background details within the provided text. No financial tables, transactions, or earnings data are included in the excerpt supplied.

Insider Trading Alert: Brian Kenneth Roberts, Chief Medical Officer of Rezolute (RZLT), has acquired 2,500 common shares at a weighted average price of $4.3756 per share on June 25, 2025. The transaction was executed through multiple purchases ranging from $4.37 to $4.38 per share.

Following this transaction, Roberts' holdings include:

• Direct ownership: 172,852 common shares (15,500 + 157,352 from previous holdings)
• Indirect ownership: 1,376 shares held by minor child

This insider purchase demonstrates continued confidence in the company by a key executive. The Form 4 filing was completed within the required reporting timeframe, with the transaction executed on June 25, 2025, and reported on June 28, 2025.

Filing overview: On 24 June 2025, Rezolute, Inc. (ticker RZLT) submitted a Form 4 disclosing a change in beneficial ownership by its Chief Financial Officer, Daron Evans.

Transaction details: Mr. Evans executed an open-market purchase (transaction code “P”) of 5,000 common shares at $4.05 per share on the reported date. No sales or other derivative transactions were listed.

Post-transaction holdings: After the purchase, the CFO directly holds 268,900 shares. He also reports indirect ownership of 23,000 shares for minor child #1, 20,000 shares held by his spouse, 4,500 shares each for minor children #2 and #3, and 40,000 shares through PoC Capital LLC, a California entity he manages. Combined, these positions represent 360,900 common shares. The filing states that Evans disclaims beneficial ownership of PoC Capital shares except for his pecuniary interest.

The Form 4 was electronically signed by Daron Evans on 24 June 2025.

Form 4 overview: Rezolute, Inc. (RZLT) disclosed that director Young-Jin Kim executed a substantial open-market purchase of the company’s common stock on 13 June 2025.

• Transaction code P (Purchase): 1,230,769 common shares acquired indirectly through Handok, Inc. at $3.25 per share, implying a cash outlay of roughly $4.0 million.
• Post-transaction holdings: Handok, Inc. now holds 8,423,386 shares (indirect ownership attributed to Kim). Kim also continues to hold 149,950 shares directly; no change was reported for the direct position.
• The filing states that Kim “disclaims beneficial ownership” of Handok’s holdings except to the extent of any pecuniary interest, but SEC rules still require attribution because he is a director of Rezolute and a control person at Handok.

Investment take-aways:

• A multi-million-dollar insider purchase often signals personal or strategic confidence in Rezolute’s pipeline and valuation.
• The purchase increases Handok’s stake and may strengthen the strategic relationship between the two companies, as Handok has historically been a significant investor and commercial partner.
• No derivative transactions, sales, or option exercises were reported, underscoring a purely additive position.

The Form 4 contains no earnings metrics, operational updates or forward-looking statements; the filing is limited to reporting the insider trade required under Section 16(a).

Rezolute, Inc. (RZLT) – Form 4 insider transaction

Director Nerissa Kreher reported purchasing 3,076 common shares of Rezolute on 13 June 2025 at an average price of $3.25 per share. Following the transaction, Dr. Kreher directly owns 37,576 shares of the company’s common stock. No derivative securities were involved, and no dispositions were reported.