Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|
transaction | ALZN | Common Stock | Purchase | $22.8K | +5K | +0.09% | $4.57* | 5.35M | Jul 30, 2021 | By Digital Power Lending, LLC | F1, F2 |
transaction | ALZN | Common Stock | Purchase | $2M | +1.33M | +24.94% | $1.50 | 6.68M | Jul 30, 2021 | By Digital Power Lending, LLC | F2, F3 |
transaction | ALZN | Common Stock | Purchase | $6.84K | +1.5K | +0.02% | $4.56* | 6.68M | Aug 2, 2021 | By Digital Power Lending, LLC | F2, F4 |
transaction | ALZN | Common Stock | Purchase | $2.18K | +500 | +0.01% | $4.35* | 6.68M | Aug 3, 2021 | By Digital Power Lending, LLC | F2 |
holding | ALZN | Common Stock | 15M | Jul 30, 2021 | By Ault Life Sciences, Inc. | F5 | |||||
holding | ALZN | Common Stock | 10M | Jul 30, 2021 | By Ault Life Sciences Fund, LLC | F6 |
Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
transaction | ALZN | Common Stock Purchase Warrants | Purchase | +667K | 667K | Jul 30, 2021 | Common Stock | 667K | $1.50 | By Digital Power Lending, LLC | F2, F3, F7 | |||
transaction | ALZN | Call Option (right to buy) | Purchase | $5.26K | +500 | $10.51* | 500 | Jul 30, 2021 | Common Stock | 50K | $10.00 | By Digital Power Lending, LLC | F2, F8 | |
transaction | ALZN | Call Option (right to buy) | Purchase | $3.11K | +20 | +66.67% | $155.51 | 50 | Jul 30, 2021 | Common Stock | 2K | $5.00 | By Digital Power Lending, LLC | F2, F8 |
transaction | ALZN | Call Option (right to buy) | Purchase | $805 | +10 | +50% | $80.51* | 30 | Jul 30, 2021 | Common Stock | 1K | $10.00 | By Digital Power Lending, LLC | F2, F8 |
transaction | ALZN | Call Option (right to buy) | Purchase | $955 | +10 | +50% | $95.51 | 30 | Jul 30, 2021 | Common Stock | 1K | $7.50 | By Digital Power Lending, LLC | F2, F8 |
transaction | ALZN | Call Option (right to buy) | Purchase | $705 | +10 | +33.33% | $70.51* | 40 | Aug 3, 2021 | Common Stock | 1K | $10.00 | By Digital Power Lending, LLC | F2, F8 |
transaction | ALZN | Call Option (right to buy) | Purchase | $2.29K | +10 | $228.51 | 10 | Aug 3, 2021 | Common Stock | 1K | $2.50 | By Digital Power Lending, LLC | F2, F8 | |
holding | ALZN | Common Stock Purchase Warrants | 1.33M | Jul 30, 2021 | Common Stock | 1.33M | $1.50 | By Digital Power Lending, LLC | F2, F7 |
Id | Content |
---|---|
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. |
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 | 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. |
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. |
F5 | Mr. Ault has sole voting and investment power with respect to the securities held of record by Ault Life Sciences, Inc. |
F6 | Mr. Ault has sole voting and investment power with respect to the securities held of record by Ault Life Sciences Fund, LLC. |
F7 | These warrants are exercisable, however, they are not deemed to be beneficially owned since they contain a beneficial ownership blocker provision preventing exercise if the exercise would result in the holder beneficially owning in excess of 4.99% of the Issuer's common stock. |
F8 | The security listed is an exchange-traded option contract. Exchange-traded options are immediately exercisable and remain exercisable until expiration. |