Statement of Changes in Beneficial Ownership (4)
November 08 2021 - 4:01PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
AULT MILTON C III |
2. Issuer Name and Ticker or Trading Symbol
Alzamend Neuro, Inc.
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ALZN
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
3802 SPECTRUM BOULEVARD, SUITE 112C |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/4/2021 |
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(Street)
TAMPA, FL 33612
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Put Option (obligation to buy) | $2.50 | 11/4/2021 | | S (1) | | | 50 | (2) | 5/20/2022 | Common Stock | 5000 | $96.488 | 50 | I | By Digital Power Lending, LLC (3) |
| Call Option (right to buy) | $2.50 | | | | | | | (2) | 5/20/2022 | Common Stock | 15000 | | 150 | I | By Digital Power Lending, LLC (3) |
| Call Option (right to buy) | $2.50 | | | | | | | (2) | 2/18/2022 | Common Stock | 40000 | | 400 | I | By Digital Power Lending, LLC (3) |
| Call Option (right to buy) | $5.00 | | | | | | | (2) | 2/18/2022 | Common Stock | 102000 | | 1020 | I | By Digital Power Lending, LLC (3) |
| Call Option (right to buy) | $10.00 | | | | | | | (2) | 2/18/2022 | Common Stock | 40000 | | 400 | I | By Digital Power Lending, LLC( (3) |
| Call Option (right to buy) | $7.50 | | | | | | | (2) | 2/18/2022 | Common Stock | 5000 | | 50 | I | By Digital Power Lending, LLC (3) |
| Explanation of Responses: |
| (1) | Digital Power Lending, LLC ("DPL") wrote 50 put option contracts expiring in May 2022 which provide that DPL will be required to purchase shares of common stock at the stated strike price if the counterparty exercises such put options. |
| (2) | The security listed is an exchange-traded option contract. Exchange-traded options are immediately exercisable and remain exercisable until expiration. |
| (3) | DPL is a wholly-owned subsidiary of Ault Global Holdings, Inc. ("AGH"). Mr. Ault, the Executive Chairman of AGH, is deemed to have voting and investment power with respect to the securities held of record by DPL. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
AULT MILTON C III
3802 SPECTRUM BOULEVARD, SUITE 112C
TAMPA, FL 33612 |
| X |
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Signatures
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| /s/ Milton C. Ault, III | | 11/8/2021 |
| **Signature of Reporting Person | Date |
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