| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ALZN | Common Stock | Other | $0 | -661,168 | -99% | $0.000000 | 5,498 | 23 Jan 2024 | By Ault Life Sciences Fund, LLC | F1, F2 |
| holding | ALZN | Common Stock | 768,365 | 23 Jan 2024 | By Ault Lending, LLC | F3 | |||||
| holding | ALZN | Common Stock | 166,865 | 23 Jan 2024 | Direct | ||||||
| holding | ALZN | Common Stock | 996,197 | 23 Jan 2024 | By Ault Life Sciences, Inc. | F4 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ALZN | Warrants | Other | $0 | -666,666 | -100% | $0.000000* | 0 | 23 Jan 2024 | Common Stock | 666,666 | $45.00 | By Ault Life Sciences Fund, LLC | F2, F5 |
| Id | Content |
|---|---|
| F1 | These shares, which were pledged as security for the repayment of a promissory note owed by Ault Life Sciences Fund, LLC ("ALSF"), were returned to the Issuer as part of a settlement agreement between the Issuer and ALSF (the "Settlement Agreement"), whereby the outstanding obligation, among other rights, were terminated. |
| F2 | Mr. Ault has sole voting and investment power with respect to the securities held of record by ALSF. |
| F3 | Ault Lending, LLC ("Ault Lending"), is a wholly-owned subsidiary of Ault Alliance, Inc. ("AAI"). Mr. Ault, the Executive Chairman of AAI, is deemed to have voting and investment power with respect to the securities held of record by Ault Lending. |
| F4 | Mr. Ault has sole voting and investment power with respect to the securities held of record by Ault Life Sciences, Inc. |
| F5 | These warrants were returned to the Issuer as part of the Settlement Agreement. |