Ault Milton C III 的 Form 4 申報
Alzamend Neuro, Inc.（ALZN），2021/8/3 申報
- 申報編號
- 0001214659-21-008130
- 申報時間
- 2021/8/3
- 交易日
- 2021/7/30-8/3
- 申報延遲
- 4 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
這份申報列了 4 筆非衍生性交易、7 筆衍生性交易。公開市場買進合計 $203.2 萬。交易後 4 天申報。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Ault Milton C IIICIK 0001212502 | 持股 10% 以上大股東 |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2021/7/30 | Common Stock | P買進取得 | +666,667 | –F3 | – | 666,667 | 間接 | |
| 2021/7/30 | Common Stock | P買進取得 | +50,000 | $10.51 | +$5,255 | 500 | 間接 | |
| 2021/7/30 | Common Stock | P買進取得 | +2,000 | $155.51 | +$3,110.2 | 50 | 間接 | |
| 2021/7/30 | Common Stock | P買進取得 | +1,000 | $80.51 | +$805.1 | 30 | 間接 | |
| 2021/7/30 | Common Stock | P買進取得 | +1,000 | $95.51 | +$955.1 | 30 | 間接 | |
| 2021/8/3 | Common Stock | P買進取得 | +1,000 | $70.51 | +$705.1 | 40 | 間接 | |
| 2021/8/3 | Common Stock | P買進取得 | +1,000 | $228.51 | +$2,285.1 | 10 | 間接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F1
The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $4.5687. The range of purchase prices on the transaction date was $4.45 to $4.71 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.
表 I 有 1 筆交易的價格引用這則附註。
- F3
DPL purchased 1,333,333 shares of the Issuer's common stock and warrants to purchase 666,667 shares of the Issuer's common stock with an exercise price of $3.00 per share, pursuant to a securities purchase agreement dated March 9, 2021, entered into by and between DPL and the Issuer.
表 I 有 1 筆、表 II 有 1 筆交易的價格引用這則附註。
- F4
The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $4.5633. The range of purchase prices on the transaction date was $4.50 to $4.595 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.
表 I 有 1 筆交易的價格引用這則附註。