Chan Heng Fai Ambrose's Form 4 filing
Alset Inc. (AEI) · filed May 29, 2024
- Accession no.
- 0001493152-24-021851
- Filed
- May 29, 2024
- Trade date
- May 24-28, 2024
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions. Open-market purchases total $362.6K. It was filed 5 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| May 24, 2024 | Common Stock | PPurchaseAcquired | +233,092 | $0.70F1 | +$163,164.4 | 4,856,910 | Direct | |
| May 24, 2024 | Common Stock | PPurchaseAcquired | +223,396 | $0.67F2 | +$149,675.32 | 5,080,306 | Direct | |
| May 28, 2024 | Common Stock | PPurchaseAcquired | +67,215 | $0.74F3 | +$49,739.1 | 5,147,521 | 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.
- F1
On May 24, 2024, Mr. Chan acquired 233,092 shares of the Issuer's common stock at a price of $0.70 per share in a private transaction.
Referenced by the price of 1 transaction in Table I.
- F2
On May 24, 2024, Mr. Chan acquired 223,396 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $0.546 to $0.70. 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.
- F3
On May 28, 2024, Mr. Chan acquired 67,215 shares of the Issuer's common stock. This transaction was executed in multiple trades at prices ranging from $0.73 to $0.80. 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.