Robert O. Smith - Nov 9, 2021 Form 4 Insider Report for Ault Global Holdings, Inc. (AULT)

Role
Director
Signature
/s/ Robert O. Smith
Stock symbol
AULT
Transactions as of
Nov 9, 2021
Transactions value $
$0
Form type
4
Date filed
11/12/2021, 08:31 PM
Previous filing
Sep 21, 2021
Next filing
Nov 17, 2021

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction AULT Stock Options (Right to Buy) Award $0 +100K $0.00 100K Nov 9, 2021 Common Stock 100K $2.19 Direct F1
holding AULT Stock Options (Right to Buy) 50K Nov 9, 2021 Common Stock 50K $1.79 Direct F2
holding AULT Stock Options (Right to Buy) 150K Nov 9, 2021 Common Stock 150K $2.55 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On November 9, 2021, the Board of Directors of the Issuer granted stock options to Mr. Smith to purchase 100,000 shares of the Issuer's common stock, which options shall vest in equal monthly increments commencing on January 1, 2023 and ending on December 1, 2024. The stock options, which were issued outside of any Issuer stock incentive plan, will be exercisable upon vesting, subject to receipt of approval of the option grants by the NYSE American and the Issuer's stockholders.
F2 Mr. Smith was granted stock options to purchase 50,000 shares of the Issuer's common stock, which options vest in equal monthly increments over one (1) year commencing on September 17, 2020.
F3 Mr. Smith was granted stock options to purchase 150,000 shares of the Issuer's common stock, which options shall vest in monthly increments commencing on January 1, 2022 and ending on December 1, 2023.