Rezolute, Inc. 10-K

Item 5. Market for Registrant's Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities. Market Information Prior to the effectiveness of the Reverse Stock Split on October 9, 2020, our common stock was quoted on the OTCQB of the OTC Markets Group under the trading symbol “RZLT”. Upon the effectiveness of the Reverse Stock Split, the trading symbol was changed to “RZLTD”. The OTCQB is an inter-dealer quotation and trading system and only market makers can apply to quote securities on the OTCQB. Trading in our common stock on the OTCQB was limited and sporadic and the quotations set forth below are not necessarily indicative of actual market conditions. Further, these prices reflect inter-dealer prices without retail mark-up, mark-down, or commission, and may not necessarily represent actual transactions. Since November 9, 2020, our common stock has traded on Nasdaq under the symbol “RZLT”. Holders As of September 8, 2021, there were approximately 300 holders of record of our common stock. We believe the number of beneficial owners of our common stock is substantially greater than the number of record holders because a large portion of our outstanding common stock is held of record in broker “street names” for the benefit of individual investors. Dividends We have never paid cash dividends and intend to employ all available funds in the development of our business. We have no plans to pay cash dividends in the foreseeable future. In addition, the Loan Agreement we entered into in April 2021 contains restrictions on our ability to pay dividends. Recent Sales of Unregistered Securities None. Securities Authorized for Issuance Under Equity Compensation Plans Information regarding our equity compensation plans as of June 30, 2021 is disclosed in Item 12 “ Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters ” of this Annual Report on Form 10-K. 18 PART II Item 6. [Reserved]