| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AULT | Common Stock | Options Exercise | $0 | +66,666 | $0.000000 | 66,666 | 20 Aug 2021 | Direct | F1 | |
| holding | AULT | Common Stock | 2,543 | 20 Aug 2021 | Direct | ||||||
| holding | AULT | Common Stock | 1,658,916 | 20 Aug 2021 | By Ault & Company, Inc. | F3 | |||||
| holding | AULT | Common Stock | 3,408 | 20 Aug 2021 | By Philou Ventures, LLC | F2, F4 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AULT | Restricted Stock Grant | Options Exercise | $0 | -66,666 | -33% | $0.000000 | 133,334 | 20 Aug 2021 | Common Stock | 66,666 | Direct | F5, F6 | |
| transaction | AULT | Restricted Stock Grant | Award | $0 | +400,000 | $0.000000 | 400,000 | 20 Aug 2021 | Common Stock | 400,000 | Direct | F5, F7 | ||
| transaction | AULT | Stock Options (Right to Buy) | Disposed to Issuer | -400,000 | -100% | 0 | 20 Aug 2021 | Common Stock | 400,000 | $4.49 | Direct | F8 | ||
| transaction | AULT | Stock Options (Right to Buy) | Award | +400,000 | 400,000 | 20 Aug 2021 | Common Stock | 400,000 | $2.55 | Direct | F8 |
| Id | Content |
|---|---|
| F1 | Represents the vesting of restricted stock. |
| F2 | Does not include 2,232 shares of the Issuer's Common Stock issuable upon conversion of the Issuer's Series B Convertible Preferred Stock and 2,232 shares of Common Stock issuable upon the exercise of certain warrants held by Philou Ventures, LLC ("Philou Ventures"). |
| F3 | Milton C. Ault, III, is the Chief Executive Officer of Ault & Company, Inc. ("Ault & Co.") and is deemed to beneficially own the shares held by Ault & Co. |
| F4 | Ault & Co. is the Manager of Philou Ventures. Milton C. Ault, III, as the Chief Executive Officer of Ault & Co., is deemed to beneficially own the shares held by Ault & Co. |
| F5 | Each restricted stock unit is the economic equivalent of one share of Common Stock, par value $0.001, of Ault Global Holdings, Inc. |
| F6 | On November 2, 2020, Mr. Ault was granted 200,000 restricted shares of the Issuer's Common Stock (the "Restricted Shares"), which vest in three equal installments as follows: 66,666 shares on August 20, 2021, 66,667 shares on November 15, 2021, and 66,667 shares on May 15, 2022. The grant of Restricted Shares was approved at the Issuer's Annual Meeting of Stockholders on August 13, 2021, and authorized by the NYSE American on August 20, 2021. |
| F7 | On January 8, 2021, Mr. Ault was granted 400,000 Restricted Shares, which vest in four installments on each of November 15, 2022, May 1, 2023, November 15, 2023 and May 15, 2024. The grant of Restricted Shares was approved at the Issuer's Annual Meeting of Stockholders on August 13, 2021, and authorized by the NYSE American on August 20, 2021. |
| F8 | On April 26, 2021, the Issuer's Board of Directors approved an option repricing effective August 20, 2021, which resulted in, for purposes of Section 16 of the Exchange Act, the cancellation of these stock options granted to Mr. Ault on January 8, 2021, in exchange for new stock options (the "Options") having a lower exercise price of $2.55 per share. All of the other terms of the Options remained unchanged. The Options were approved at the Issuer's Annual Meeting of Stockholders on August 13, 2021, and authorized by the NYSE American on August 20, 2021. |