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Alzamend Neuro, Inc. — Director's Dealing 2021
Sep 17, 2021
35321_dirs_2021-09-16_7206e7b8-a085-448c-a23d-94d49c046e5f.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: 2021-09-14
Reporting Person: AULT MILTON C III (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-09-14 | Common Stock | P | 5000 | $2.6984 | Acquired | 6720388 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-09-16 | Call Option (right to buy) | $2.50 | P | 180 | Acquired | 2022-02-18 | Common Stock (18000) | Indirect |
| 2021-09-16 | Call Option (right to buy) | $10.00 | P | 200 | Acquired | 2022-02-18 | Common Stock (20000) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 150000 | Direct |
| Common Stock | 15000000 | Indirect |
| Common Stock | 10000000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Call Option (right to buy) | $5.00 | 2022-02-18 | Common Stock (50000) | 500 | Indirect |
| Call Option (right to buy) | $7.50 | 2022-02-18 | Common Stock (5000) | 50 | Indirect |
Footnotes
F1: Digital Power Lending, LLC ("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.
F2: Mr. Ault has sole voting and investment power with respect to the securities held of record by Ault Life Sciences, Inc.
F3: Mr. Ault has sole voting and investment power with respect to the securities held of record by Ault Life Sciences Fund, LLC.
F4: The security listed is an exchange-traded option contract. Exchange-traded options are immediately exercisable and remain exercisable until expiration.
F5: The options were purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $93.3891. The range of purchase prices on the transaction date was $91.511 to $96.511. 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 options purchased at each price.