Ault Milton C III's Form 4 filing
RiskOn International, Inc. (ROII) · filed Nov 17, 2023
- Accession no.
- 0001214659-23-015346
- Filed
- Nov 17, 2023
- Trade date
- Nov 15, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 1 derivative transaction. 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.
This filing has no transactions of this kind.
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 15, 2023 | Common Stock | PPurchaseAcquired | +29,580,392 | $15,085,930.69F5 | +$9,103,454,015.57 | 603.44 | Indirect | Price outlier |
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.
- F5
On November 15, 2023, the Issuer issued Ault Alliance, Inc. ("AAI") 603.44 shares of the Issuer's newly designated Series D Convertible Preferred Stock for a total purchase price of $15,085,930.69. The purchase price was paid by the cancellation of $15,085,930.69 of cash advances made by AAI to the Issuer between January 1, 2023 and November 9, 2023.
Referenced by the price of 1 transaction in Table II.