Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|
transaction | ALZN | Common Stock | Other | $9.75K | +3.9K | +0.04% | $2.50* | 9.82M | May 20, 2022 | By Digital Power Lending, LLC | F1, F2 |
holding | ALZN | Common Stock | 2.5M | May 20, 2022 | Direct | ||||||
holding | ALZN | Common Stock | 14.9M | May 20, 2022 | By Ault Life Sciences, Inc. | F3 | |||||
holding | ALZN | Common Stock | 10M | May 20, 2022 | By Ault Life Sciences Fund, LLC | F4 | |||||
holding | ALZN | Common Stock | 325K | May 20, 2022 | By Ault Alpha LP | F5 |
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 | -$9.75K | -39 | -100% | $250.00 | 0 | May 20, 2022 | Common Stock | 3.9K | $2.50 | By Digital Power Lending, LLC | F1, F2, F6 |
holding | ALZN | Call Option (right to buy) | 70 | May 20, 2022 | Common Stock | 7K | $2.50 | By Digital Power Lending, LLC | F2, F6 |
Id | Content |
---|---|
F1 | 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 39 of such put options at $2.50 per share of common stock. |
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 | Mr. Ault has sole voting and investment power with respect to the securities held of record by Ault Life Sciences, Inc. |
F4 | Mr. Ault has sole voting and investment power with respect to the securities held of record by Ault Life Sciences Fund, LLC. |
F5 | 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. |
F6 | The security listed is an exchange-traded option contract. Exchange-traded options are immediately exercisable and remain exercisable until expiration. |