Sec Form 3 Filing - ROBERTS BRIAN KENNETH @ Rezolute, Inc. - 2020-10-23

FORM 3 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

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, Section 17(a) of the Public Utility Holding Company Act of 1935 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 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) Sr VP, Clinic Development (Last) (First) (Middle) C/O REZOLUTE, INC., 201 REDWOOD SHORES PARKWAY, SUITE 315 3. Date of Earliest Transaction (MM/DD/YY) 10/23/2020 (Street) REDWOOD CITY, CA94065 4. If Amendment, Date Original Filed (MM/DD/YY) 6. Individual or Joint/Group Filing (Check Applicable Line) __ X __ Form filed by One Reporting Person _____ Form filed by More than One Reporting Person (City) (State) (Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) 2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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

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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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 (MM/DD/YY) 7. Title and Amount of Underlying Securities (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 of Derivative Security: 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) $ 156 ( 1 ) 03/25/2024 Common Shares 3,400 D Employee Stock Option (Right to Buy) $ 52.5 ( 2 ) 04/12/2027 Common Shares 9,000 D Employee Stock Option (Right to Buy) $ 14.5 ( 3 ) 07/30/2029 Common Shares 40,000 D Employee Stock Option (Right to Buy) $ 14.5 ( 4 ) 07/30/2029 Common Shares 20,000 D

Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other ROBERTS BRIAN KENNETH C/O REZOLUTE, INC. 201 REDWOOD SHORES PARKWAY, SUITE 315 REDWOOD CITY, CA94065 Sr VP, Clinic Development Signatures /s/ Brian Kenneth Roberts 10/30/2020 Signature of Reporting Person Date

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.

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).

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