Ault Milton C III's Form 4 filing
Alzamend Neuro, Inc. (ALZN) · filed Aug 10, 2021
- Accession no.
- 0001214659-21-008330
- Filed
- Aug 10, 2021
- Trade date
- Aug 6-10, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 3 derivative transactions. Open-market purchases total $22.7K. 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 6, 2021 | Common Stock | PPurchaseAcquired | +4,000 | $4.07F1 | +$16,280 | 6,687,388 | Indirect | |
| Aug 9, 2021 | Common Stock | PPurchaseAcquired | +500 | $4.06 | +$2,030 | 6,687,888 | Indirect | |
| Aug 10, 2021 | Common Stock | PPurchaseAcquired | +1,100 | $4.01F3 | +$4,411 | 6,688,988 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 6, 2021 | Common Stock | PPurchaseAcquired | +14,000 | $119.08F7 | +$16,671.2 | 200 | Indirect | |
| Aug 6, 2021 | Common Stock | PPurchaseAcquired | +10,000 | $55.51 | +$5,551 | 200 | Indirect | |
| Aug 6, 2021 | Common Stock | PPurchaseAcquired | +2,000 | $75.51 | +$1,510.2 | 50 | 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 $4.0688. The range of purchase prices on the transaction date was $4.05 to $4.13 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 $4.0108. The range of purchase prices on the transaction date was $3.99 to $4.04 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.
- F7
The options were purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $119.0836. The range of purchase prices on the transaction date was $115.51 to $120.51. 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.