Chan Heng Fai Ambrose's Form 4 filing

Alset Inc. (AEI) · filed Jun 30, 2023

Accession no.: 0001493152-23-023119
Filed: Jun 30, 2023
Trade date: Jun 28-29, 2023
Filing delay: 2 days
Rule 10b5-1 plan: Not checked

Original on SEC EDGAR (opens in a new tab)

This filing lists 2 non-derivative transactions. Open-market purchases total $33.7K. 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.

Reporting owners on this filing
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.

Non-derivative transactions
Trade date	Security	Transaction	Shares	Price	Value	Shares after	Ownership	Flags
Jun 28, 2023	Common Stock	PPurchaseAcquired	+10,000	$1.65^F1	+$16,500	4,613,818	Direct
Jun 29, 2023	Common Stock	PPurchaseAcquired	+10,000	$1.72^F2	+$17,200	4,623,818	Direct

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.

On June 28, 2023, Mr. Chan acquired 10,000 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $1.55 to $1.70. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

Referenced by the price of 1 transaction in Table I.

On June 29, 2023, Mr. Chan acquired 10,000 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $1.67 to $1.76. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

Referenced by the price of 1 transaction in Table I.

Read the full filing on SEC EDGAR (opens in a new tab)