Form 4 for ALZN Alzamend Neuro, Inc.
Accepted 2021-11-04 00:00:00 ET · period of report 2021-11-02 · accession 0001214659-21-011155 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-11-04 | 2021-11-03 | ALZN | AULT MILTON C III | 10% | M - OptEx | $0.00 | +100.0K | 250.0K | +67% | $0 |
| D | 2021-11-04 | 2021-11-03 | ALZN | AULT MILTON C III | 10% | M - OptEx | $0.00 | -100.0K | 2.25M | -4% | $0 |
| DMI | 2021-11-04 | 2021-11-02+ | ALZN | AULT MILTON C III | 10% | P - Purchase | $78.18 | +150 | 50 | New | +$11.7K |
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 | 2021-11-03 | M | A | 100,000 | $0.00 | 250,000 | D | — | — | |
| 2 | Derivative | Stock Options (Right to Buy) | 2021-11-03 | M | D | 100,000 | $0.00 | 2,250,000 | D By Digital Power Lending, LLC | $0.00 · — to 2026-04-29 | 100,000 Common Stock | (F2) 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. (F5) The stock options exercised in this transaction were fully vested and exercisable as of the transaction date. |
| 3 | Derivative | Call Option (right to buy) | 2021-11-03 | P | A | 100 | $77.51 | 150 | I | $2.50 · — to 2022-05-20 | 10,000 Common Stock | (F6) The security listed is an exchange-traded option contract. Exchange-traded options are immediately exercisable and remain exercisable until expiration. |
| 4 | Derivative | Call Option (right to buy) | 2021-11-02 | P | A | 50 | $79.51 | 50 | I By Digital Power Lending, LLC | $2.50 · — to 2022-05-20 | 5,000 Common Stock | (F2) 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. (F6) The security listed is an exchange-traded option contract. Exchange-traded options are immediately exercisable and remain exercisable until expiration. |