Ault Milton C III's Form 4 filing
Alzamend Neuro, Inc. (ALZN) · filed Aug 3, 2021
- Accession no.
- 0001214659-21-008130
- Filed
- Aug 3, 2021
- Trade date
- Jul 30-Aug 3, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 7 derivative transactions. Open-market purchases total $2.03M. 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 30, 2021 | Common Stock | PPurchaseAcquired | +5,000 | $4.57F1 | +$22,850 | 5,346,555 | Indirect | |
| Jul 30, 2021 | Common Stock | PPurchaseAcquired | +1,333,333 | $1.50F3 | +$1,999,999.5 | 6,679,888 | Indirect | |
| Aug 2, 2021 | Common Stock | PPurchaseAcquired | +1,500 | $4.56F4 | +$6,840 | 6,681,388 | Indirect | |
| Aug 3, 2021 | Common Stock | PPurchaseAcquired | +500 | $4.35 | +$2,175 | 6,681,888 | 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 30, 2021 | Common Stock | PPurchaseAcquired | +666,667 | –F3 | – | 666,667 | Indirect | |
| Jul 30, 2021 | Common Stock | PPurchaseAcquired | +50,000 | $10.51 | +$5,255 | 500 | Indirect | |
| Jul 30, 2021 | Common Stock | PPurchaseAcquired | +2,000 | $155.51 | +$3,110.2 | 50 | Indirect | |
| Jul 30, 2021 | Common Stock | PPurchaseAcquired | +1,000 | $80.51 | +$805.1 | 30 | Indirect | |
| Jul 30, 2021 | Common Stock | PPurchaseAcquired | +1,000 | $95.51 | +$955.1 | 30 | Indirect | |
| Aug 3, 2021 | Common Stock | PPurchaseAcquired | +1,000 | $70.51 | +$705.1 | 40 | Indirect | |
| Aug 3, 2021 | Common Stock | PPurchaseAcquired | +1,000 | $228.51 | +$2,285.1 | 10 | 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 $4.5687. The range of purchase prices on the transaction date was $4.45 to $4.71 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
DPL purchased 1,333,333 shares of the Issuer's common stock and warrants to purchase 666,667 shares of the Issuer's common stock with an exercise price of $3.00 per share, pursuant to a securities purchase agreement dated March 9, 2021, entered into by and between DPL and the Issuer.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.
- 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 $4.5633. The range of purchase prices on the transaction date was $4.50 to $4.595 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.