Milton C. Ault III - Nov 15, 2021 Form 4 Insider Report for Ault Global Holdings, Inc. (AULT)

Role: Executive Chairman, Director
Signature: /s/ Milton C. Ault, III
Stock symbol: AULT
Transactions as of: Nov 15, 2021
Transactions value $: $0
Form type: 4
Date filed: 11/17/2021, 04:00 PM
Previous filing: Nov 12, 2021
Next filing: Nov 24, 2021

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	AULT	Common Stock	Options Exercise	$0	+66.7K	+96.33%	$0.00	136K	Nov 15, 2021	Direct	F1
holding	AULT	Common Stock						2.65M	Nov 15, 2021	By Ault Alpha LP	F2
holding	AULT	Common Stock						1.66M	Nov 15, 2021	By Ault & Company, Inc.	F3
holding	AULT	Common Stock						3.41K	Nov 15, 2021	By Philou Ventures, LLC	F4

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	Restricted Stock Grant	Options Exercise	$0	-66.7K	-50%	$0.00	66.7K	Nov 15, 2021	Common Stock	66.7K		Direct	F5, F6
holding	AULT	Restricted Stock Grant						400K	Nov 15, 2021	Common Stock	400K		Direct	F5, F7
holding	AULT	Restricted Stock Grant						1.25K	Nov 15, 2021	Common Stock	1.25K		Direct	F5, F8

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Represents the vesting of restricted stock.
F2	Milton C. Ault, III, is the Manager of Ault Alpha GP LLC ("Ault GP") and Ault Capital Management LLC ("AC Management"). Ault GP and AC Management are the general partner and investment manager to Ault Alpha LP ("Ault Alpha"), respectively. As such, Mr. Ault is deemed to beneficially own the shares held by Ault Alpha.
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, LLC. 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.
F7	On January 8, 2021, Mr. Ault was granted 400,000 Restricted Shares, which vest in four equal installments on each of November 15, 2022, May 1, 2023, November 15, 2023 and May 15, 2024.
F8	Mr. Ault received 1,250 Restricted Shares which vest ratably over forty-eight (48) months commencing on January 1, 2020, subject to earlier vesting upon achievement of certain milestones. 573 Restricted Shares have vested; however, such shares have not been issued as of the date of this filing.