Milton C. Ault III - 24 Nov 2023 Form 4 Insider Report for Ault Alliance, Inc. (GPUS)

Role: Executive Chairman, Director
Signature: /s/ Milton C. Ault, III
Issuer symbol: GPUS
Transactions as of: 24 Nov 2023
Net transactions value: +$31,136
Form type: 4
Filing time: 28 Nov 2023, 16:30:33 UTC
Previous filing: 27 Nov 2023
Next filing: 29 Nov 2023
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	AULT	Common Stock	Purchase	$30,817	+346,644	+104%	$0.0889	679,969	24 Nov 2023	By Ault Alpha LP	F1
transaction	AULT	Common Stock	Purchase	$319	+3,500	+115%	$0.0912	6,539	24 Nov 2023	Direct
holding	AULT	Common Stock						5,742	24 Nov 2023	By Ault & Company, Inc.	F2
holding	AULT	Common Stock						11	24 Nov 2023	By Philou Ventures, LLC	F3
holding	AULT	13% Series D Cumulative Redeemable Perpetual Preferred Stock						110	24 Nov 2023	Direct
holding	AULT	13% Series D Cumulative Redeemable Perpetual Preferred Stock						101,184	24 Nov 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.