William B. Horne - Dec 1, 2021 Form 4 Insider Report for Ault Global Holdings, Inc. (AULT)

Role
Chief Executive Officer, Director
Signature
/s/ William B. Horne
Stock symbol
AULT
Transactions as of
Dec 1, 2021
Transactions value $
$0
Form type
4
Date filed
12/3/2021, 05:10 PM
Previous filing
Nov 17, 2021
Next filing
Dec 16, 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AULT Common Stock Options Exercise $0 +1.25K +0.92% $0.00 137K Dec 1, 2021 Direct 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
transaction AULT Restricted Stock Grant Options Exercise $0 -1.25K -100% $0.00* 0 Dec 1, 2021 Common Stock 1.25K Direct F2, F3
holding AULT Restricted Stock Grant 66.7K Dec 1, 2021 Common Stock 66.7K Direct F2, F4
holding AULT Restricted Stock Grant 400K Dec 1, 2021 Common Stock 400K Direct F2, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents the vesting of restricted stock.
F2 Each restricted stock unit is the economic equivalent of one share of Common Stock, par value $0.001, of Ault Global Holdings, Inc.
F3 Mr. Horne received 1,250 restricted shares of the Issuer's Common Stock (the "Restricted Shares"), which vest in installments of 250 shares annually over five (5) years beginning on January 1, 2019, subject to earlier vesting upon achievement of certain milestones. On November 18, 2021, the Board of Directors of the Issuer approved an amendment to the vesting schedule whereby the Restricted Shares vested on December 1, 2021. All of the Restricted Shares were issued, including shares that previously vested but were unissued.
F4 On November 2, 2020, Mr. Horne was granted 200,000 Restricted Shares, which vest in three equal installments as follows: 66,666 shares on August 20, 2021, 66,667 shares on November 15, 2021, and 66,667 shares on May 15, 2022.
F5 On January 8, 2021, Mr. Horne was granted 400,000 Restricted Shares, which vest in four equal installments on each of November 15, 2022, May 1, 2023, November 15, 2023 and May 15, 2024.