Ault Milton C III's Form 4 filing
Alzamend Neuro, Inc. (ALZN) · filed Jul 27, 2021
- Accession no.
- 0001214659-21-007882
- Filed
- Jul 27, 2021
- Trade date
- Jul 23-27, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 5 derivative transactions. Open-market purchases total $63.6K. It was filed 4 days after the trade.
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 23, 2021 | Common Stock | PPurchaseAcquired | +5,000 | $5.76F1 | +$28,800 | 5,334,055 | Indirect | |
| Jul 26, 2021 | Common Stock | PPurchaseAcquired | +3,500 | $4.94F3 | +$17,290 | 5,337,555 | Indirect | |
| Jul 27, 2021 | Common Stock | PPurchaseAcquired | +4,000 | $4.37F4 | +$17,480 | 5,341,555 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 26, 2021 | Common Stock | PPurchaseAcquired | +2,000 | $201.01F8 | +$4,020.2 | 20 | Indirect | |
| Jul 26, 2021 | Common Stock | PPurchaseAcquired | +1,000 | $125.51 | +$1,255.1 | 10 | Indirect | |
| Jul 27, 2021 | Common Stock | PPurchaseAcquired | +1,000 | $175.51 | +$1,755.1 | 30 | Indirect | |
| Jul 27, 2021 | Common Stock | PPurchaseAcquired | +1,000 | $90.41 | +$904.1 | 20 | Indirect | |
| Jul 27, 2021 | Common Stock | PPurchaseAcquired | +800 | $125.51 | +$1,004.08 | 20 | 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 $5.7576. The range of purchase prices on the transaction date was $5.58 to $5.98 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.
- 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 $4.9424. The range of purchase prices on the transaction date was $4.92 to $4.99 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 common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $4.3668. The range of purchase prices on the transaction date was $4.32 to $4.45 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.
- F8
The options were purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $201.014. The range of purchase prices on the transaction date was $200.51 to $205.52. 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.
Referenced by the price of 1 transaction in Table II.