Ault Milton C III's Form 4/A amendment
AmendedRiskOn International, Inc. (ROII) · filed Aug 25, 2023
- Accession no.
- 0001214659-23-011712
- Filed
- Aug 25, 2023
- Trade date
- Aug 23-24, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Aug 25, 2023
This filing lists 3 non-derivative transactions. Open-market purchases total $55.9K. It was filed 2 days after the trade.
This amendment replaces 0001214659-23-011695 (filed Aug 25, 2023).
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 23, 2023 | Common Stock | PPurchaseAcquired | +500 | $0.75 | +$375 | 2,100 | Direct | |
| Aug 23, 2023 | Common Stock | PPurchaseAcquired | +6,000 | $0.78 | +$4,680 | 34,000 | Indirect | |
| Aug 24, 2023 | Common Stock | PPurchaseAcquired | +59,148 | $0.86 | +$50,867.28 | 207,610 | 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
Milton C. Ault, III, is the Manager of Ault Alpha GP LLC ("Ault GP") and Ault Capital Management LLC ("AC Management"). Ault GP and AC Management are the general partner and investment manager to Ault Alpha LP ("Ault Alpha"), respectively. As such, Mr. Ault is deemed to beneficially own the shares held by Ault Alpha.
- F2
Ault Lending, LLC ("Ault Lending") is a wholly owned subsidiary of Ault Alliance, Inc ("AAI"). The Reporting Person is the Executive Chairman of AAI and is deemed to have voting and investment power with respect to the securities held of record by Ault Lending.
Remarks
This Form 4 amendment is being filed solely to reflect shares purchased by Ault Alpha LP on August 23, 2023. The original Form 4 inadvertently omitted this purchase as the shares are held in a separate brokerage account.