Milton C. Ault III - Nov 24, 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
Nov 24, 2023
Transactions value $
$31,136
Form type
4
Date filed
11/28/2023, 04:30 PM
Previous filing
Nov 27, 2023
Next filing
Nov 29, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AULT Common Stock Purchase $30.8K +347K +104% $0.09 680K Nov 24, 2023 By Ault Alpha LP F1
transaction AULT Common Stock Purchase $319 +3.5K +115.17% $0.09 6.54K Nov 24, 2023 Direct
holding AULT Common Stock 5.74K Nov 24, 2023 By Ault & Company, Inc. F2
holding AULT Common Stock 11 Nov 24, 2023 By Philou Ventures, LLC F3
holding AULT 13% Series D Cumulative Redeemable Perpetual Preferred Stock 110 Nov 24, 2023 Direct
holding AULT 13% Series D Cumulative Redeemable Perpetual Preferred Stock 101K Nov 24, 2023 By Ault Alpha LP F1
* 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 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.
F2 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.
F3 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.