Milton C. Ault III - Jul 17, 2023 Form 4 Insider Report for Ault Alliance, Inc. (AULT)

Role: Executive Chairman, Director
Signature: /s/ Milton C. Ault, III
Stock symbol: AULT
Transactions as of: Jul 17, 2023
Transactions value $: $620,743
Form type: 4
Date filed: 7/19/2023, 04:30 PM
Previous filing: Jul 14, 2023
Next filing: Aug 25, 2023

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	AULT	Common Stock	Purchase	$230K	+55.3K	+29.67%	$4.16	242K	Jul 17, 2023	By Ault Alpha LP	F1, F2
transaction	AULT	Common Stock	Purchase	$391K	+91.7K	+37.96%	$4.26	333K	Jul 18, 2023	By Ault Alpha LP	F2, F3
holding	AULT	Common Stock						5.73K	Jul 17, 2023	By Ault & Company, Inc.	F4
holding	AULT	Common Stock						11	Jul 17, 2023	By Philou Ventures, LLC	F5
holding	AULT	Common Stock						3.04K	Jul 17, 2023	Direct
holding	AULT	13% Series D Cumulative Redeemable Perpetual Preferred Stock						110	Jul 17, 2023	Direct
holding	AULT	13% Series D Cumulative Redeemable Perpetual Preferred Stock						101K	Jul 17, 2023	By Ault Alpha LP	F2

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

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id	Content
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 $4.1611. The range of purchase prices on the transaction date was $4.0581 to $4.3225 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	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	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 $4.2599. The range of purchase prices on the transaction date was $4.0755 to $4.2613 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.
F4	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.
F5	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 Philou Ventures, LLC.