Ault Milton C III's Form 4 filing
RiskOn International, Inc. (ROII) · filed Sep 15, 2023
- Accession no.
- 0001214659-23-012400
- Filed
- Sep 15, 2023
- Trade date
- Sep 13-14, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions. Open-market purchases total $121.4K. 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 13, 2023 | Common Stock | PPurchaseAcquired | +400 | $0.99F1 | +$396 | 2,500 | Direct | |
| Sep 13, 2023 | Common Stock | PPurchaseAcquired | +116,694 | $0.96 | +$112,026.24 | 481,685 | Indirect | |
| Sep 14, 2023 | Common Stock | PPurchaseAcquired | +8,072 | $1.11 | +$8,959.92 | 489,757 | 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 $0.985. The range of purchase prices on the transaction date was $0.98 to $0.99 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.