Form Type: 4

SEC EDGAR Link
Accession Number:0001214659-21-012341
Date:2021-11-24
Issuer: AULT GLOBAL HOLDINGS, INC. (DPW)
Original Submission Date:

Reporting Person:

AULT MILTON C III
11411 SOUTHERN HIGHLANDS PARKWAY
SUITE 240 LAS VEGAS, NV 89141

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-11-24 P 155,000 a $1.91 5,405,000 indirect f2
COMMON STOCK 2021-11-24 P 3,500 a $1.90 149,375 direct
COMMON STOCK 2021-11-26 P 500 a $1.74 149,875 direct
COMMON STOCK 2021-11-24 0 $0.00 1,658,916 indirect f4
COMMON STOCK 2021-11-24 0 $0.00 3,408 indirect f5
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 the common stock was purchased by ault alpha lp ("ault alpha") in open market transactions on the transaction date, with a volume weighted average sale price of $1.9091. the range of sale prices on the transaction date was $1.9087 to $1.9107 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 sold 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, respectively. as such, mr. ault is deemed to beneficially own the shares held by ault alpha.
f3 the common stock was purchased in open market transactions on the transaction date, with a volume weighted average sale price of $1.9019. the range of sale prices on the transaction date was $1.8389 to $1.9284 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 sold at each price.
f4 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
f5 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 ault & co.
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