Ault Milton C III's Form 4 filing
Alzamend Neuro, Inc. (ALZN) · filed Mar 28, 2024
- Accession no.
- 0001214659-24-005472
- Filed
- Mar 28, 2024
- Trade date
- Mar 26, 2024
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 2 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 | Director, 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 26, 2024 | Common Stock | PPurchaseAcquired | +780,000 | $1,000.00 | +$780,000 | 2,000 | Indirect | |
| Mar 26, 2024 | Common Stock | PPurchaseAcquired | +780,000 | $0.00F5 | $0 | 2,000,000 | 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.
- F5
These warrants were issued for no additional consideration in connection with the purchase of the Series B Convertible Preferred Stock.
Referenced by the price of 1 transaction in Table II.