Ault Milton C III's Form 4/A amendment
AmendedAlzamend Neuro, Inc. (ALZN) · filed Jul 15, 2021
- Accession no.
- 0001214659-21-007541
- Filed
- Jul 15, 2021
- Trade date
- Jul 12-14, 2021
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Jul 14, 2021
This filing lists 3 non-derivative transactions. Open-market purchases total $89.1K. It was filed 3 days after the trade.
This amendment replaces 0001214659-21-007504 (filed Jul 14, 2021).
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Ault Milton C IIICIK 0001212502 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 12, 2021 | Common Stock | PPurchaseAcquired | +8,100 | $6.15F1 | +$49,815 | 5,314,155 | Indirect | |
| Jul 13, 2021 | Common Stock | PPurchaseAcquired | +900 | $6.26F3 | +$5,634 | 5,315,055 | Indirect | |
| Jul 14, 2021 | Common Stock | PPurchaseAcquired | +5,500 | $6.12F5 | +$33,660 | 5,320,555 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $6.1496. The range of purchase prices on the transaction date was $5.92 to $6.22 per share. 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 shares purchased at each price.
Referenced by the price of 1 transaction in Table I.
- 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.
- F3
The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $6.2633. The range of purchase prices on the transaction date was $6.19 to $6.32 per share. 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 shares purchased at each price.
Referenced by the price of 1 transaction in Table I.
- F4
The original Form 4 filed on July 14, 2021, is amended by this Form 4 amendment to correct an error in the amount of shares from "5,000" to "5,500".
- F5
The original Form 4 filed on July 14, 2021, is amended by this Form 4 amendment to correct an error in the Price from "$6.7374" to "6.1249". The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $6.1249. The range of purchase prices on the transaction date was $5.86 to $6.75 per share. 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 shares purchased at each price.
Referenced by the price of 1 transaction in Table I.
- F6
The original Form 4 filed on July 14, 2021, is amended by this Form 4 amendment to correct an error in the amount of shares from "5,320,055" to "5,320,555".
- F7
Mr. Ault has sole voting and investment power with respect to the securities held of record by Ault Life Sciences, Inc.
- F8
Mr. Ault has sole voting and investment power with respect to the securities held of record by Ault Life Sciences Fund, LLC.