Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|
holding | ALZN | Common Stock | 10M | Jun 14, 2021 | By Ault Life Sciences Fund, LLC | F1 | |||||
holding | ALZN | Common Stock | 3.09M | Jun 14, 2021 | By Digital Power Lending, LLC | F2 |
Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
holding | ALZN | Warrants | Jun 14, 2021 | Common Stock | 5M | $3.00 | By Ault Life Sciences Fund, LLC | F1 | ||||||
holding | ALZN | Warrants | Jun 14, 2021 | Common Stock | 1.35M | $3.00 | By Digital Power Lending, LLC | F2 | ||||||
holding | ALZN | Series A Convertible Preferred Stock | Jun 14, 2021 | Common Stock | 15M | By Ault Life Sciences, Inc. | F3 | |||||||
holding | ALZN | Stock Options (Right to Buy) | Jun 14, 2021 | Common Stock | 2.5M | $0.00 | Direct | F4 |
Id | Content |
---|---|
F1 | Mr. Ault has sole voting and investment power with respect to the securities held of record by Ault Life Sciences Fund, LLC. |
F2 | 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. |
F3 | The Series A Convertible Preferred Stock (the "Series A Preferred Stock") shall automatically convert into 15,000,000 shares of Common Stock upon the closing of the initial public offering without payment of further consideration. Mr. Ault has sole voting and investment power with respect to the shares of Series A Preferred Stock held of record by Ault Life Sciences, Inc. |
F4 | Mr. Ault was granted stock options to purchase 2,500,000 shares of Common Stock, which options are exercisable at an exercise price of $0.004 and are currently vested and exercisable. |