Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|
transaction | ALZN | Common Stock | Purchase | $23.3K | +23.9K | +0.24% | $0.98 | 9.82M | May 17, 2022 | By Digital Power Lending, LLC | F1, F2 |
transaction | ALZN | Common Stock | Other | $2.75K | +1.1K | +0.01% | $2.50* | 9.82M | May 17, 2022 | By Digital Power Lending, LLC | F2, F3 |
holding | ALZN | Common Stock | 2.5M | May 17, 2022 | Direct | ||||||
holding | ALZN | Common Stock | 14.9M | May 17, 2022 | By Ault Life Sciences, Inc. | F4 | |||||
holding | ALZN | Common Stock | 10M | May 17, 2022 | By Ault Life Sciences Fund, LLC | F5 | |||||
holding | ALZN | Common Stock | 325K | May 17, 2022 | By Ault Alpha LP | F6 |
Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
transaction | ALZN | Put Option (obligation to buy) | Other | -$2.75K | -11 | -22% | $250.00 | 39 | May 17, 2022 | Common Stock | 1.1K | $2.50 | By Digital Power Lending, LLC | F2, F3, F7 |
holding | ALZN | Call Option (right to buy) | 70 | May 17, 2022 | Common Stock | 7K | $2.50 | By Digital Power Lending, LLC | F2, F7 | |||||
holding | ALZN | Call Option (right to buy) | 150 | May 17, 2022 | Common Stock | 15K | $2.50 | By Digital Power Lending, LLC | F2, F7 |
Id | Content |
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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 $0.9767. The range of purchase prices on the transaction date was $0.96 to $0.98 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 BitNile Holdings, Inc. ("BH"). Mr. Ault, the Executive Chairman of BH, is deemed to have voting and investment power with respect to the securities held of record by DPL. |
F3 | On November 4, 2021, DPL wrote 50 put option contracts expiring in May 2022, which provided that DPL will be required to purchase shares of common stock at the stated strike price if the counterparty exercises such put options. On the transaction date listed above, the counterparty exercised 11 of such put options at $2.50 per share of common stock. |
F4 | Mr. Ault has sole voting and investment power with respect to the securities held of record by Ault Life Sciences, Inc. |
F5 | Mr. Ault has sole voting and investment power with respect to the securities held of record by Ault Life Sciences Fund, LLC. |
F6 | 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, respectively. As such, Mr. Ault is deemed to beneficially own the shares held by Ault Alpha LP. |
F7 | The security listed is an exchange-traded option contract. Exchange-traded options are immediately exercisable and remain exercisable until expiration. |