Ault Milton C III's Form 4 filing
Alzamend Neuro, Inc. (ALZN) · filed Nov 4, 2021
- Accession no.
- 0001214659-21-011155
- Filed
- Nov 4, 2021
- Trade date
- Nov 2-3, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 1 non-derivative transaction and 3 derivative transactions. It was filed 2 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 3, 2021 | Common Stock | MOption exerciseAcquired | +100,000 | $0.00 | $0 | 250,000 | Direct |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 3, 2021 | Common Stock | MOption exerciseDisposed | −100,000 | $0.00 | $0 | 2,250,000 | Direct | |
| Nov 2, 2021 | Common Stock | PPurchaseAcquired | +5,000 | $79.51 | +$3,975.5 | 50 | Indirect | |
| Nov 3, 2021 | Common Stock | PPurchaseAcquired | +10,000 | $77.51 | +$7,751 | 150 | 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.
No transaction price on this filing refers to a footnote.