William B. Horne - Dec 1, 2021 Form 4 Insider Report for Ault Global Holdings, Inc. (AULT)

Role: Chief Executive Officer, Director
Signature: /s/ William B. Horne
Stock symbol: AULT
Transactions as of: Dec 1, 2021
Transactions value $: $0
Form type: 4
Date filed: 12/3/2021, 05:10 PM
Previous filing: Nov 17, 2021
Next filing: Dec 16, 2021

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	AULT	Common Stock	Options Exercise	$0	+1.25K	+0.92%	$0.00	137K	Dec 1, 2021	Direct	F1

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	-1.25K	-100%	$0.00^*	0	Dec 1, 2021	Common Stock	1.25K		Direct	F2, F3
holding	AULT	Restricted Stock Grant						66.7K	Dec 1, 2021	Common Stock	66.7K		Direct	F2, F4
holding	AULT	Restricted Stock Grant						400K	Dec 1, 2021	Common Stock	400K		Direct	F2, F5

* 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	Each restricted stock unit is the economic equivalent of one share of Common Stock, par value $0.001, of Ault Global Holdings, Inc.
F3	Mr. Horne received 1,250 restricted shares of the Issuer's Common Stock (the "Restricted Shares"), which vest in installments of 250 shares annually over five (5) years beginning on January 1, 2019, subject to earlier vesting upon achievement of certain milestones. On November 18, 2021, the Board of Directors of the Issuer approved an amendment to the vesting schedule whereby the Restricted Shares vested on December 1, 2021. All of the Restricted Shares were issued, including shares that previously vested but were unissued.
F4	On November 2, 2020, Mr. Horne was granted 200,000 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.
F5	On January 8, 2021, Mr. Horne 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.