Filing Details
- Accession Number:
- 0001214659-23-009667
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-07-14 19:10:49
- Reporting Period:
- 2023-07-12
- Accepted Time:
- 2023-07-14 19:10:49
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 896493 | Ault Alliance Inc. | AULT | Electronic Components, Nec (3679) | 941721931 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1212502 | Iii C Milton Ault | 11411 Southern Highlands Parkway Suite 240 Las Vegas NV 89141 | Executive Chairman | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| 13% Series D Cumulative Redeemable Perpetual Preferred Stock | Acquisiton | 2023-07-12 | 10 | $13.93 | 110 | No | 4 | P | Direct | |
| 13% Series D Cumulative Redeemable Perpetual Preferred Stock | Acquisiton | 2023-07-12 | 4,500 | $15.30 | 96,184 | No | 4 | P | Indirect | By Ault Alpha LP |
| 13% Series D Cumulative Redeemable Perpetual Preferred Stock | Acquisiton | 2023-07-13 | 5,000 | $15.67 | 101,184 | No | 4 | P | Indirect | By Ault Alpha LP |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Indirect | By Ault Alpha LP |
| No | 4 | P | Indirect | By Ault Alpha LP |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 3,039 | Direct | |
| Common Stock | 186,325 | Indirect | By Ault Alpha LP |
| Common Stock | 5,729 | Indirect | By Ault & Company, Inc. |
| Common Stock | 11 | Indirect | By Philou Ventures, LLC |
Footnotes
- 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.
- 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.
- 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.
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