Chan Heng Fai Ambrose's Form 4 filing
Alset Inc. (AEI) · filed Jan 27, 2022
- Accession no.
- 0001493152-22-002432
- Filed
- Jan 27, 2022, 5:18 PM ET
- Trade date
- Jan 26-27, 2022
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 1 non-derivative transaction and 2 derivative transactions. It was filed 1 day 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 |
|---|---|
| Chan Heng Fai AmbroseCIK 0001261725 | Director, Officer (Chief Executive Officer), 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 27, 2022 | Common Stock | CConversionAcquired | +10,000,000 | $0.625 | +$6,250,000 | 28,749,299 | Direct |
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 |
|---|---|---|---|---|---|---|---|---|
| Jan 26, 2022 | Common Stock | PPurchaseAcquired | +10,000,000 | $0.625 | – | – | Direct | |
| Jan 27, 2022 | Common Stock | CConversionDisposed | −10,000,000 | $0.625 | – | – | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.