Milton C. Ault III - Nov 30, 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 30, 2023
Transactions value $
$3,909
Form type
4
Date filed
12/4/2023, 04:30 PM
Previous filing
Dec 1, 2023
Next filing
Dec 8, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AULT 13% Series D Cumulative Redeemable Perpetual Preferred Stock Purchase $3.91K +178 +0.18% $21.96* 101K Nov 30, 2023 By Ault Alpha LP F1, F2
holding AULT 13% Series D Cumulative Redeemable Perpetual Preferred Stock 110 Nov 30, 2023 Direct
holding AULT Common Stock 6.54K Nov 30, 2023 Direct
holding AULT Common Stock 680K Nov 30, 2023 By Ault Alpha LP F2
holding AULT Common Stock 5.74K Nov 30, 2023 By Ault & Company, Inc. F3
holding AULT Common Stock 11 Nov 30, 2023 By Philou Ventures, LLC F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The preferred stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $21.9601. The range of purchase prices on the transaction date was $21.8447 to $22.05 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 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.
F4 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.