Ault Global Holdings, Inc.'s Form 4 filing
RiskOn International, Inc. (ROII) · filed Aug 23, 2023
- Accession no.
- 0001214659-23-011645
- Filed
- Aug 23, 2023
- Trade date
- Mar 31-Aug 22, 2023
- Filing delay
- 145 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 6 non-derivative transactions. Open-market purchases total $36.1K. It was filed 145 days after the trade, past the 2-business-day deadline.
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 Global Holdings, Inc.CIK 0000896493 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 31, 2023 | Common Stock | JOtherAcquired | +13,633 | $6.77F1 | +$92,295.41 | 61,440 | Indirect | Price outlier |
| Apr 30, 2023 | Common Stock | JOtherAcquired | +13,194 | $7.50F1 | +$98,955 | 74,634 | Indirect | |
| May 31, 2023 | Common Stock | JOtherAcquired | +13,634 | $7.50F1 | +$102,255 | 88,268 | Indirect | |
| Jun 30, 2023 | Common Stock | JOtherAcquired | +13,194 | $7.50F1 | +$98,955 | 101,462 | Indirect | |
| Aug 21, 2023 | Common Stock | PPurchaseAcquired | +10,000 | $0.72 | +$7,200 | 111,462 | Indirect | |
| Aug 22, 2023 | Common Stock | PPurchaseAcquired | +37,000 | $0.78F4 | +$28,860 | 148,462 | 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
Reflects shares of common stock paid as a dividend on shares of Series B preferred stock owned by the reporting person.
Referenced by the price of 4 transactions 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 $0.7763. The range of purchase prices on the transaction date was $0.7575 to $0.7774 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.