GPUS

SEC source: 0001214659-21-008965 · marketforms-53648.xml · derivative · entry 5

Bentz Jeffrey Allen · CIK 0001719817 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2031-01-07

F5 · price: On April 26, 2021, the Issuer's Board of Directors approved an option repricing effective August 20, 2021, which resulted in, for purposes of the Exchange Act, the cancellation of these stock options granted to Mr. Bentz on January 8, 2021, in exchange for new stock options (the "Options") having a lower exercise price of $2.55 per share. All of the other terms of the Options remained unchanged. The Options were approved at the Issuer's Annual Meeting of Stockholders on August 13, 2021, and authorized by the NYSE American on August 20, 2021.

F5 · derivative.exercise_date: On April 26, 2021, the Issuer's Board of Directors approved an option repricing effective August 20, 2021, which resulted in, for purposes of the Exchange Act, the cancellation of these stock options granted to Mr. Bentz on January 8, 2021, in exchange for new stock options (the "Options") having a lower exercise price of $2.55 per share. All of the other terms of the Options remained unchanged. The Options were approved at the Issuer's Annual Meeting of Stockholders on August 13, 2021, and authorized by the NYSE American on August 20, 2021.

SEC source: 0001214659-21-008965 · marketforms-53648.xml · derivative · entry 4

Bentz Jeffrey Allen · CIK 0001719817 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 150,000 shares

Expires 2031-01-07

F5 · price: On April 26, 2021, the Issuer's Board of Directors approved an option repricing effective August 20, 2021, which resulted in, for purposes of the Exchange Act, the cancellation of these stock options granted to Mr. Bentz on January 8, 2021, in exchange for new stock options (the "Options") having a lower exercise price of $2.55 per share. All of the other terms of the Options remained unchanged. The Options were approved at the Issuer's Annual Meeting of Stockholders on August 13, 2021, and authorized by the NYSE American on August 20, 2021.

F5 · derivative.exercise_date: On April 26, 2021, the Issuer's Board of Directors approved an option repricing effective August 20, 2021, which resulted in, for purposes of the Exchange Act, the cancellation of these stock options granted to Mr. Bentz on January 8, 2021, in exchange for new stock options (the "Options") having a lower exercise price of $2.55 per share. All of the other terms of the Options remained unchanged. The Options were approved at the Issuer's Annual Meeting of Stockholders on August 13, 2021, and authorized by the NYSE American on August 20, 2021.

SEC source: 0001214659-21-008965 · marketforms-53648.xml · derivative · entry 3

Bentz Jeffrey Allen · CIK 0001719817 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2023-11-15

F2 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Common Stock, par value $0.001, of Ault Global Holdings, Inc.

F4 · derivative.exercise_date: On January 8, 2021, Mr. Bentz was granted 50,000 shares of the Issuer's Common Stock (the "Restricted Shares"), which vest in four installments on each of May 15, 2022, November 15, 2022, May 1, 2023 and November 15, 2023. The grant of Restricted Shares was approved at the Issuer's Annual Meeting of Stockholders on August 13, 2021, and authorized by the NYSE American on August 20, 2021.

SEC source: 0001214659-21-008965 · marketforms-53648.xml · derivative · entry 2

Bentz Jeffrey Allen · CIK 0001719817 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2021-11-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Common Stock, par value $0.001, of Ault Global Holdings, Inc.

F3 · derivative.exercise_date: On November 2, 2020, Mr. Bentz was granted 100,000 restricted shares of the Issuer's Common Stock (the "Restricted Shares"), which vest in two equal installments on each of August 20, 2021, and November 15, 2021. The grant of Restricted Shares was approved at the Issuer's Annual Meeting of Stockholders on August 13, 2021, and authorized by the NYSE American on August 20, 2021.

SEC source: 0001214659-21-008965 · marketforms-53648.xml · nonDerivative · entry 1

Bentz Jeffrey Allen · CIK 0001719817 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the vesting of restricted stock.

SEC source: 0001214659-21-011974 · marketforms-54260.xml · derivative · entry 3

CRAGUN KENNETH S · CIK 0001327261 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2026-05-15

F2 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Common Stock, par value $0.001, of Ault Global Holdings, Inc.

F4 · derivative.exercise_date: On May 21, 2021, Mr. Cragun was granted 100,000 Restricted Shares, which vest semi-annually on each of May 15 and November 15 in equal tranches on such dates over a period of four (4) years commencing on May 15, 2022.

SEC source: 0001214659-21-008770 · marketforms-53613.xml · nonDerivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ault & Company, Inc.

Disclosed balance after: 1,643,946

F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $2.3745. The range of purchase prices on the transaction date was $2.37 to $2.38 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 purchased at each price.

F2 · ownership.nature: 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.

SEC source: 0001214659-21-008704 · marketforms-53603.xml · nonDerivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ault & Company, Inc.

Disclosed balance after: 1,633,946

F1 · ownership.nature: 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.

SEC source: 0001214659-21-008452 · marketforms-53587.xml · nonDerivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ault & Company, Inc.

Disclosed balance after: 1,623,946

F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $2.7598. The range of purchase prices on the transaction date was $2.755 to $2.759 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 purchased at each price.

F2 · ownership.nature: 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.

SEC source: 0001214659-21-008390 · marketforms-53575.xml · nonDerivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ault & Company, Inc.

Disclosed balance after: 1,613,946

F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $2.6554. The range of purchase prices on the transaction date was $2.645 to $2.66 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 purchased at each price.

F2 · ownership.nature: 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.

SEC source: 0001214659-21-008329 · marketforms-53564.xml · nonDerivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ault & Company, Inc.

Disclosed balance after: 1,588,946

F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $2.5799. The range of purchase prices on the transaction date was $2.575 to $2.58 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 purchased at each price.

F2 · ownership.nature: 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.

SEC source: 0001214659-21-008280 · marketforms-53555.xml · nonDerivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ault & Company, Inc.

Disclosed balance after: 1,578,946

F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $2.5475. The range of purchase prices on the transaction date was $2.54 to $2.55 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 purchased at each price.

F2 · ownership.nature: 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.

SEC source: 0001214659-21-008225 · marketforms-53539.xml · nonDerivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ault & Company, Inc.

Disclosed balance after: 1,568,946

F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $2.5099. The range of purchase prices on the transaction date was $2.505 to $2.51 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 purchased at each price.

F2 · ownership.nature: 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.

SEC source: 0001214659-21-008183 · marketforms-53532.xml · nonDerivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ault & Company, Inc.

Disclosed balance after: 1,556,416

F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $2.4699. The range of purchase prices on the transaction date was $2.465 to $2.47 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 purchased at each price.

F2 · ownership.nature: 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.

SEC source: 0001214659-21-008155 · marketforms-53528.xml · nonDerivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ault & Company, Inc.

Disclosed balance after: 1,546,416

F1 · ownership.nature: 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.

SEC source: 0001214659-21-008128 · marketforms-53521.xml · nonDerivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ault & Company, Inc.

Disclosed balance after: 1,536,416

F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $2.3269. The range of purchase prices on the transaction date was $2.32 to $2.33 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 purchased at each price.

F2 · ownership.nature: 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.

SEC source: 0001214659-21-008070 · marketforms-53504.xml · nonDerivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ault & Company, Inc.

Disclosed balance after: 1,526,416

F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $2.3595. The range of purchase prices on the transaction date was $2.355 to $2.36 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 purchased at each price.

F2 · ownership.nature: 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.

SEC source: 0001214659-21-008012 · marketforms-53494.xml · nonDerivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ault & Company, Inc.

Disclosed balance after: 1,516,416

F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $2.2898. The range of purchase prices on the transaction date was $2.28 to $2.29 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 purchased at each price.

F2 · ownership.nature: 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.

SEC source: 0001214659-21-007877 · marketforms-53483.xml · nonDerivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ault & Company, Inc.

Disclosed balance after: 1,506,416

F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $2.3198. The range of purchase prices on the transaction date was $2.315 to $2.32 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 purchased at each price.

F2 · ownership.nature: 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.

SEC source: 0001214659-21-007821 · marketforms-53473.xml · nonDerivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ault & Company, Inc.

Disclosed balance after: 1,496,416

F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $2.4299. The range of purchase prices on the transaction date was $2.425 to $2.43 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 purchased at each price.

F2 · ownership.nature: 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.

SEC source: 0001214659-21-007791 · marketforms-53466.xml · nonDerivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ault & Company, Inc.

Disclosed balance after: 1,476,416

F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $2.4145. The range of purchase prices on the transaction date was $2.34 to $2.45 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 purchased at each price.

F2 · ownership.nature: 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.

SEC source: 0001214659-21-007762 · marketforms-53461.xml · nonDerivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ault & Company, Inc.

Disclosed balance after: 1,446,416

F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $2.3399. The range of purchase prices on the transaction date was $2.335 to $2.34 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 purchased at each price.

F2 · ownership.nature: 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.

SEC source: 0001214659-21-007713 · marketforms-53455.xml · nonDerivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ault & Company, Inc.

Disclosed balance after: 1,436,416

F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $2.3899. The range of purchase prices on the transaction date was $2.385 to $2.39 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 purchased at each price.

F2 · ownership.nature: 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.

SEC source: 0001214659-21-007686 · marketforms-53452.xml · nonDerivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ault & Company, Inc.

Disclosed balance after: 1,426,416

F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $2.2811. The range of purchase prices on the transaction date was $2.27 to $2.29 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 purchased at each price.

F2 · ownership.nature: 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.

SEC source: 0001214659-21-007620 · marketforms-53445.xml · nonDerivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ault & Company, Inc.

Disclosed balance after: 1,406,416

F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $2.2103. The range of purchase prices on the transaction date was $2.205 to $2.212 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 purchased at each price.

F2 · ownership.nature: 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.

SEC source: 0001214659-21-007604 · marketforms-53438.xml · nonDerivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ault & Company, Inc.

Disclosed balance after: 1,396,416

F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $2.2298. The range of purchase prices on the transaction date was $2.225 to $2.23 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 purchased at each price.

F2 · ownership.nature: 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.

SEC source: 0001214659-21-007545 · marketforms-53419.xml · nonDerivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ault & Company, Inc.

Disclosed balance after: 1,380,416

F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $2.2309. The range of purchase prices on the transaction date was $2.21 to $2.24 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 purchased at each price.

F2 · ownership.nature: 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.

SEC source: 0001214659-21-006789 · marketforms-53171.xml · nonDerivative · entry 2

Ault & Company, Inc. · CIK 0001734770 · See Remark

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,360,416

SEC source: 0001214659-21-006802 · marketforms-53167.xml · nonDerivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,543

SEC source: 0001214659-21-006467 · marketforms-53107.xml · nonDerivative · entry 1

Horne William B. · CIK 0001333268 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,806

F1 · balance_after: Includes 750 shares of the Issuer's common stock issuable pursuant to a stock incentive grant.

SEC source: 0001214659-21-006789 · marketforms-53171.xml · derivative · entry 3

Ault & Company, Inc. · CIK 0001734770 · See Remark

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 275,862 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: On February 5, 2020, the Issuer sold and issued an 8% Convertible Promissory Note in the principal amount of $1,000,000 (the "Note") to the Reporting Person, which Note was convertible into shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") at a conversion price of $1.45 per share. On May 12, 2021, the Reporting Person converted the remaining $400,000 of principal of the Note into 275,862 shares of Common Stock.

F1 · shares: On February 5, 2020, the Issuer sold and issued an 8% Convertible Promissory Note in the principal amount of $1,000,000 (the "Note") to the Reporting Person, which Note was convertible into shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") at a conversion price of $1.45 per share. On May 12, 2021, the Reporting Person converted the remaining $400,000 of principal of the Note into 275,862 shares of Common Stock.

F2 · derivative.expiration_date: The Note was convertible, at the election of the Reporting Person, prior to payment, or prepayment, in full.

F3 · derivative.underlying_shares: Excludes shares issuable at the election of the Reporting Person upon conversion of accrued interest into shares of Common Stock.

F1 · valueOwnedAfter: On February 5, 2020, the Issuer sold and issued an 8% Convertible Promissory Note in the principal amount of $1,000,000 (the "Note") to the Reporting Person, which Note was convertible into shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") at a conversion price of $1.45 per share. On May 12, 2021, the Reporting Person converted the remaining $400,000 of principal of the Note into 275,862 shares of Common Stock.

SEC source: 0001214659-21-006789 · marketforms-53171.xml · nonDerivative · entry 1

Ault & Company, Inc. · CIK 0001734770 · See Remark

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,354,829

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: On February 5, 2020, the Issuer sold and issued an 8% Convertible Promissory Note in the principal amount of $1,000,000 (the "Note") to the Reporting Person, which Note was convertible into shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") at a conversion price of $1.45 per share. On May 12, 2021, the Reporting Person converted the remaining $400,000 of principal of the Note into 275,862 shares of Common Stock.

SEC source: 0001214659-21-001155 · marketforms-51345.xml · derivative · entry 1

SMITH ROBERT O · CIK 0000091335 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2031-01-08

F1 · derivative.exercise_date: On January 8, 2021, the Board of Directors of the Issuer approved the issuance of stock options to its directors and officers. Mr. Smith was granted options to purchase 150,000 shares of common stock which shall vest in monthly increments beginning January 1, 2022 and ending December 31, 2023 and will be exercisable upon receipt of approval therefor by the NYSE American and the Issuer's stockholders.

SEC source: 0001214659-21-001157 · marketforms-51352.xml · derivative · entry 1

ASH HOWARD · CIK 0001677305 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2031-01-08

F1 · derivative.exercise_date: On January 8, 2021, the Board of Directors of the Issuer approved the issuance of stock options to its directors and officers. Mr. Ash was granted options to purchase 150,000 shares of common stock which shall vest in monthly increments beginning January 1, 2022 and ending December 31, 2023 and will be exercisable upon receipt of approval therefor by the NYSE American and the Issuer's stockholders.

SEC source: 0001214659-21-001158 · marketforms-51353.xml · derivative · entry 1

Brichan Jodi · CIK 0001799728 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2031-01-08

F1 · derivative.exercise_date: On January 8, 2021, the Board of Directors of the Issuer approved the issuance of stock options to its directors and officers. Ms. Brichan was granted options to purchase 150,000 shares of common stock which shall vest in monthly increments beginning January 1, 2022 and ending December 31, 2023 and will be exercisable upon receipt of approval therefor by the NYSE American and the Issuer's stockholders.

SEC source: 0001214659-21-001156 · marketforms-51350.xml · derivative · entry 1

Bentz Jeffrey Allen · CIK 0001719817 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2031-01-08

F1 · derivative.exercise_date: On January 8, 2021, the Board of Directors of the Issuer approved the issuance of stock options to its directors and officers. Mr. Bentz was granted options to purchase 150,000 shares of common stock which shall vest in monthly increments beginning January 1, 2022 and ending December 31, 2023 and will be exercisable upon receipt of approval therefor by the NYSE American and the Issuer's stockholders.

SEC source: 0001214659-21-001154 · marketforms-51344.xml · derivative · entry 1

Rosenberg Mordechai · CIK 0001647162 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2031-01-08

F1 · derivative.exercise_date: On January 8, 2021, the Board of Directors of the Issuer approved the issuance of stock options to its directors and officers. Mr. Rosenberg was granted options to purchase 150,000 shares of common stock which shall vest in monthly increments beginning January 1, 2022 and ending December 31, 2023 and will be exercisable upon receipt of approval therefor by the NYSE American and the Issuer's stockholders.

SEC source: 0001214659-21-001153 · marketforms-51341.xml · derivative · entry 1

Horne William B. · CIK 0001333268 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2031-01-08

F1 · derivative.exercise_date: On January 8, 2021, the Board of Directors of the Issuer approved the issuance of stock options to its directors and officers. Mr. Horne was granted options to purchase 400,000 shares of common stock which shall vest in monthly increments beginning January 1, 2022 and ending December 31, 2023 and will be exercisable upon receipt of approval therefor by the NYSE American and the Issuer's stockholders.

SEC source: 0001214659-21-001152 · marketforms-51340.xml · derivative · entry 1

Nisser Henry Carl · CIK 0001775938 · Director · President and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2031-01-08

F1 · derivative.exercise_date: On January 8, 2021, the Board of Directors of the Issuer approved the issuance of stock options to its directors and officers. Mr. Nisser was granted options to purchase 400,000 shares of common stock which shall vest in monthly increments beginning January 1, 2022 and ending December 31, 2023 and will be exercisable upon receipt of approval therefor by the NYSE American and the Issuer's stockholders.

SEC source: 0001214659-21-001151 · marketforms-51342.xml · derivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2031-01-08

F1 · derivative.exercise_date: On January 8, 2021, the Board of Directors of the Issuer approved the issuance of stock options to its directors and officers. Mr. Ault was granted options to purchase 400,000 shares of common stock which shall vest in monthly increments beginning January 1, 2022 and ending December 31, 2023 and will be exercisable upon receipt of approval therefor by the NYSE American and the Issuer's stockholders.

SEC source: 0001214659-20-010820 · marketforms-50791.xml · nonDerivative · entry 8

AULT MILTON C III · CIK 0001212502 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,600

SEC source: 0001214659-20-010820 · marketforms-50791.xml · nonDerivative · entry 7

AULT MILTON C III · CIK 0001212502 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,300

SEC source: 0001214659-20-010820 · marketforms-50791.xml · nonDerivative · entry 6

AULT MILTON C III · CIK 0001212502 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,100

SEC source: 0001214659-20-010820 · marketforms-50791.xml · nonDerivative · entry 5

AULT MILTON C III · CIK 0001212502 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,900

SEC source: 0001214659-20-010820 · marketforms-50791.xml · nonDerivative · entry 4

AULT MILTON C III · CIK 0001212502 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,800

SEC source: 0001214659-20-010820 · marketforms-50791.xml · nonDerivative · entry 3

AULT MILTON C III · CIK 0001212502 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,700

SEC source: 0001214659-20-010820 · marketforms-50791.xml · nonDerivative · entry 2

AULT MILTON C III · CIK 0001212502 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,600

SEC source: 0001214659-20-010820 · marketforms-50791.xml · nonDerivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,450

SEC source: 0001214659-21-001150 · marketforms-51343.xml · nonDerivative · entry 8

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,043

SEC source: 0001214659-21-001150 · marketforms-51343.xml · nonDerivative · entry 7

AULT MILTON C III · CIK 0001212502 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,743