Filing Details

Accession Number:
0001214659-21-009575
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-09-16 18:30:10
Reporting Period:
2021-09-14
Accepted Time:
2021-09-16 18:30:10
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1677077 Alzamend Neuro Inc. ALZN () DE
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1212502 Iii C Milton Ault 3802 Spectrum Boulevard, Suite 112C
Tampa FL 33612
No No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2021-09-14 5,000 $2.70 6,720,388 No 4 P Indirect By Digital Power Lending, LLC
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Digital Power Lending, LLC
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Call Option (right to buy) Acquisiton 2021-09-16 180 $93.39 18,000 $2.50
Common Stock Call Option (right to buy) Acquisiton 2021-09-16 200 $25.51 20,000 $10.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
300 2022-02-18 No 4 P Indirect
400 2022-02-18 No 4 P Indirect
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 150,000 Direct
Common Stock 15,000,000 Indirect By Ault Life Sciences, Inc.
Common Stock 10,000,000 Indirect By Ault Life Sciences Fund, LLC
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Call Option (right to buy) $5.00 2022-02-18 50,000 500 Indirect
Common Stock Call Option (right to buy) $7.50 2022-02-18 5,000 50 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
2022-02-18 50,000 500 Indirect
2022-02-18 5,000 50 Indirect
Footnotes
  1. 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.
  2. Mr. Ault has sole voting and investment power with respect to the securities held of record by Ault Life Sciences, Inc.
  3. Mr. Ault has sole voting and investment power with respect to the securities held of record by Ault Life Sciences Fund, LLC.
  4. The security listed is an exchange-traded option contract. Exchange-traded options are immediately exercisable and remain exercisable until expiration.
  5. 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.