Form 4 for ALZN Alzamend Neuro, Inc.
Accepted 2021-09-16 00:00:00 ET · period of report 2021-09-14 · accession 0001214659-21-009575 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2021-09-16 | 2021-09-14 | ALZN | AULT MILTON C III | 10% | P - Purchase | $2.70 | +5,000 | 6.72M | +0.1% | +$13.5K |
| DMI | 2021-09-16 | 2021-09-16 | ALZN | AULT MILTON C III | 10% | P - Purchase | $57.66 | +380 | 300 | New | +$21.9K |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-09-14 | P | A | 5,000 | $2.70 | 6,720,388 | I By Digital Power Lending, LLC | — | — | (F1) Digital Power Lending, LLC ("DPL") is a wholly-owned subsidiary of Ault Global Holdings, Inc. ("AGH"). Mr. Ault, the Executive Chairman of AGH, is deemed to have voting and investment power with respect to the securities held of record by DPL. |
| 2 | Derivative | Call Option (right to buy) | 2021-09-16 | P | A | 200 | $25.51 | 400 | I By Digital Power Lending, LLC | $10.00 · — to 2022-02-18 | 20,000 Common Stock | (F1) Digital Power Lending, LLC ("DPL") is a wholly-owned subsidiary of Ault Global Holdings, Inc. ("AGH"). Mr. Ault, the Executive Chairman of AGH, is deemed to have voting and investment power with respect to the securities held of record by DPL. (F4) The security listed is an exchange-traded option contract. Exchange-traded options are immediately exercisable and remain exercisable until expiration. |
| 3 | Derivative | Call Option (right to buy) | 2021-09-16 | P | A | 180 | $93.39 | 300 | I By Digital Power Lending, LLC | $2.50 · — to 2022-02-18 | 18,000 Common Stock | (F5) The options were purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $93.3891. The range of purchase prices on the transaction date was $91.511 to $96.511. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of options purchased at each price. (F1) Digital Power Lending, LLC ("DPL") is a wholly-owned subsidiary of Ault Global Holdings, Inc. ("AGH"). Mr. Ault, the Executive Chairman of AGH, is deemed to have voting and investment power with respect to the securities held of record by DPL. (F4) The security listed is an exchange-traded option contract. Exchange-traded options are immediately exercisable and remain exercisable until expiration. |