Zachary D. Witkoff - 12 Aug 2025 Form 3 Insider Report for ALT5 Sigma Corp (ALTS)

Role
Director
Signature
/s/ Zachary D. Witkoff
Issuer symbol
ALTS
Transactions as of
12 Aug 2025
Transactions value $
$0
Form type
3
Date filed
13 Nov 2025, 20:24
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Witkoff Zachary David Director C/O WORLD LIBERTY FINANCIAL, INC., 407 ARYE STREET, SUITE 1358, WILMINGTON, /s/ Zachary D. Witkoff 2025-11-13 0002083907

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding ALTS Common stock, Par Value $0.001 1M 12 Aug 2025 See footnote F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding ALTS Warrants to Purchase Common Stock 12 Aug 2025 Common Stock 8M $7.50 See footnote F1, F2
holding ALTS Warrants to Purchase Common Stock 12 Aug 2025 Common Stock 4M $8.25 See footnote F1, F2
holding ALTS Warrants to Purchase Common Stock 12 Aug 2025 Common Stock 4M $9.00 See footnote F1, F2
holding ALTS Warrants to Purchase Common Stock 12 Aug 2025 Common Stock 4M $9.75 See footnote F1, F2
holding ALTS Pre-Funded Warrants to Purchase Common Stock 12 Aug 2025 Common Stock 99M $0.00 See footnote F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The reported securities are held directly by World Liberty Financial, Inc. ("WLFI"). Zachary Witkoff holds an indirect interest in WLFI, and may indirectly share in the proceeds from the sale of the Issuer's securities by WLFI. Mr. Witkoff disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest, if any, and this Form 3 shall not be deemed an admission that he is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
F2 Subject to a 4.99% beneficial ownership limitation, each of the Warrants is exercisable at any time after issuance at the specified exercise price. The Warrants do not have an expiration date.
F3 Subject to a 4.99% beneficial ownership limitation, each of the Pre-Funded Warrants is exercisable for one share of Common Stock at an exercise price of $0.001 per Pre-Funded Warrant Share. The Pre-Funded Warrants are exercisable from and after October 16, 2025 following the approval by the Issuer's stockholders at a special meeting to: (i) allow, for the purpose of complying with Nasdaq rules, the issuance of shares underlying the Pre-Funded Warrant in excess of 19.99% of the shares of common stock outstanding immediately prior to their acquisition, and (ii) filed an amendment to its Articles of Incorporation to increase the number of authorized shares of common stock. The Pre-Funded Warrants do not have an expiration date.

Remarks:

Mr. Zachary D. Witkoff is the co-founder and CEO of WLFI, and was appointed to the Issuer's board of directors as a representative of WLFI. As a result, WLFI is a director by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.