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Alzamend Neuro, Inc. — Director's Dealing 2021
Nov 8, 2021
35321_dirs_2021-11-08_d83ea5f1-05b1-4c63-94f7-05cb02f19eeb.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Alzamend Neuro, Inc. (ALZN)
CIK: 0001677077
Period of Report: 2021-11-04
Reporting Person: AULT MILTON C III (N/A)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-11-04 | Put Option (obligation to buy) | $2.50 | S | 50 | Disposed | 2022-05-20 | Common Stock (5000) | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Call Option (right to buy) | $2.50 | 2022-05-20 | Common Stock (15000) | 150 | Indirect |
| Call Option (right to buy) | $2.50 | 2022-02-18 | Common Stock (40000) | 400 | Indirect |
| Call Option (right to buy) | $5.00 | 2022-02-18 | Common Stock (102000) | 1020 | Indirect |
| Call Option (right to buy) | $10.00 | 2022-02-18 | Common Stock (40000) | 400 | Indirect |
| Call Option (right to buy) | $7.50 | 2022-02-18 | Common Stock (5000) | 50 | Indirect |
Footnotes
F1: Digital Power Lending, LLC ("DPL") wrote 50 put option contracts expiring in May 2022 which provide that DPL will be required to purchase shares of common stock at the stated strike price if the counterparty exercises such put options.
F2: The security listed is an exchange-traded option contract. Exchange-traded options are immediately exercisable and remain exercisable until expiration.
F3: DPL is a wholly-owned subsidiary of Ault Global Holdings, Inc. ("AGH"). Mr. Ault, the Executive Chairman of AGH, is deemed to have voting and investment power with respect to the securities held of record by DPL.