GPUS

SEC source: 0001214659-21-001150 · marketforms-51343.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,543

SEC source: 0001214659-21-001150 · marketforms-51343.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,342

SEC source: 0001214659-21-001150 · marketforms-51343.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,243

SEC source: 0001214659-21-001150 · marketforms-51343.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,143

SEC source: 0001214659-21-001150 · marketforms-51343.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,043

SEC source: 0001214659-21-001150 · marketforms-51343.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 893

F1 · balance_after: The original Form 4 filed on December 30, 2020, is amended by this Form 4 amendment to correct an error in the amount or number of shares from "35,450" to "893". Subsequent transactions in Table I have been corrected accordingly.

SEC source: 0001214659-20-010667 · marketforms-50722.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: 35,350

SEC source: 0001214659-20-010667 · marketforms-50722.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: 35,200

SEC source: 0001214659-21-001149 · marketforms-51348.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 793

SEC source: 0001214659-21-001149 · marketforms-51348.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 643

SEC source: 0001214659-20-010667 · marketforms-50722.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: 34,830

SEC source: 0001214659-21-001149 · marketforms-51348.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 273

F1 · balance_after: The original Form 4 filed on December 23, 2020 (the "Original Filing"), is amended by this Form 4 amendment to correct an error in the amount or number of shares from "34,830" to "273". As reported in the Form 4 filed on June 29, 2018, the Reporting Person directly owned 34,600 shares of the Issuer's common stock. On March 15, 2019, the Issuer effectuated a reverse split of its issued and outstanding Common Stock by a ratio of one-for-twenty. On August 5, 2019, the Issuer effectuated a reverse split of its issued and outstanding Common Stock by a ratio of one-for-forty. Consequently, the Reporting Person directly owned 43 shares of the Issuer's common stock prior to the Original Filing.

SEC source: 0001214659-20-007990 · marketforms-49713.xml · derivative · entry 1

SMITH ROBERT O · CIK 0000091335 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2030-09-17

F1 · derivative.exercise_date: On September 17, 2020, 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 50,000 shares of common stock which shall vest in monthly increments over one year.

SEC source: 0001214659-20-007993 · marketforms-49715.xml · derivative · entry 1

Horne William B. · CIK 0001333268 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2030-09-17

F1 · derivative.exercise_date: On September 17, 2020, 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 200,000 shares of common stock which shall vest in monthly increments over two years.

SEC source: 0001214659-20-007988 · marketforms-49714.xml · derivative · entry 1

AULT MILTON C III · CIK 0001212502 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2030-09-17

F1 · derivative.exercise_date: On September 17, 2020, 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 200,000 shares of common stock which shall vest in monthly increments over two years.

SEC source: 0001214659-20-007984 · marketforms-49711.xml · derivative · entry 1

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 2030-09-17

F1 · derivative.exercise_date: On September 17, 2020, 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 50,000 shares of common stock which shall vest in monthly increments over one year.

SEC source: 0001214659-20-007986 · marketforms-49712.xml · derivative · entry 1

Brichan Jodi · CIK 0001799728 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2030-09-17

F1 · derivative.exercise_date: On September 17, 2020, 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 50,000 shares of common stock which shall vest in monthly increments over one year.

SEC source: 0001214659-20-007982 · marketforms-49710.xml · derivative · entry 1

ASH HOWARD · CIK 0001677305 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2030-09-17

F1 · derivative.exercise_date: On September 17, 2020, 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 50,000 shares of common stock which shall vest in monthly increments over one year.

SEC source: 0001214659-20-007975 · marketforms-49709.xml · derivative · entry 1

Nisser Henry Carl · CIK 0001775938 · Director · Executive VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2030-09-17

F1 · derivative.exercise_date: On September 17, 2020, 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 200,000 shares of common stock which shall vest in monthly increments over two years.

SEC source: 0001214659-20-007974 · marketforms-49708.xml · derivative · entry 1

Rosenberg Mordechai · CIK 0001647162 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2030-09-17

F1 · derivative.exercise_date: On September 17, 2020, 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 50,000 shares of common stock which shall vest in monthly increments over one year.

SEC source: 0001214659-20-007434 · marketforms-49515.xml · derivative · entry 2

Ault & Company, Inc. · CIK 0001734770 · Director · See Remark · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 689,655 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 is 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 August 20, 2020, the Reporting Person converted $600,000 of the Note into 413,793 shares of Common Stock. The Issuer's stockholders approved the conversion of the Note into shares of Common Stock at $1.45 per share at the Issuer's special meeting of stockholders held on July 8, 2020, as required by Rule 713(a)(ii) of the NYSE Company Guide.

F2 · derivative.exercise_date: The Note is convertible, at the election of the Reporting Person, prior to payment, or prepayment, in full on or after July 22, 2020.

F2 · derivative.expiration_date: The Note is convertible, at the election of the Reporting Person, prior to payment, or prepayment, in full on or after July 22, 2020.

F3 · derivative.underlying_shares: Excludes shares issuable at the election of the Reporting Person upon conversion of accrued interest (both past and future) into shares of Common Stock.

F1 · balance_after: 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 is 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 August 20, 2020, the Reporting Person converted $600,000 of the Note into 413,793 shares of Common Stock. The Issuer's stockholders approved the conversion of the Note into shares of Common Stock at $1.45 per share at the Issuer's special meeting of stockholders held on July 8, 2020, as required by Rule 713(a)(ii) of the NYSE Company Guide.

SEC source: 0001214659-20-007434 · marketforms-49515.xml · nonDerivative · entry 1

Ault & Company, Inc. · CIK 0001734770 · Director · See Remark · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,080,738

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 is 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 August 20, 2020, the Reporting Person converted $600,000 of the Note into 413,793 shares of Common Stock. The Issuer's stockholders approved the conversion of the Note into shares of Common Stock at $1.45 per share at the Issuer's special meeting of stockholders held on July 8, 2020, as required by Rule 713(a)(ii) of the NYSE Company Guide.

SEC source: 0001214659-20-001936 · marketforms-47986.xml · derivative · entry 1

Ault & Company, Inc. · CIK 0001734770 · Director · See Remark · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000,000

Underlying: Common Stock · 689,655 shares

Expires not disclosed

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 is 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. Conversion of the Note is subject to the approval of the Issuer's stockholders at a special meeting thereof, as required by Rule 713(a)(ii) of the NYSE Company Guide, and subsequently, the authorization from the NYSE American (the "Required Approvals").

F2 · derivative.exercise_date: After the Issuer's receipt of the Required Approvals, the Note shall be convertible, at the election of the Reporting Person, prior to payment, or prepayment, in full by or on August 5, 2020.

F2 · derivative.expiration_date: After the Issuer's receipt of the Required Approvals, the Note shall be convertible, at the election of the Reporting Person, prior to payment, or prepayment, in full by or on August 5, 2020.

F3 · derivative.underlying_shares: Excludes shares issuable at the election of the Reporting Person upon conversion of accrued interest (both past and future) into shares of Common Stock.

SEC source: 0001214659-20-000418 · marketforms-47510.xml · nonDerivative · entry 1

Ault & Company, Inc. · CIK 0001734770 · Director · See Remark · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 666,945

F1 · date: The original Form 4 filed on January 16, 2020, is amended by this Form 4 amendment to correct a typographical error in the transaction date from "1/15/2019" to "1/15/2020". No other changes have been made to the original Form 4.

F2 · shares: On December 22, 2019, the Reporting Person agreed to acquire 19.9% of the Issuer's issued and outstanding shares of common stock, or 660,667 shares, at $1.12 per share for a total purchase price of $739,948, pursuant to a securities purchase agreement in reliance upon the provisions of Section 4(a)(2) of the Securities Act of 1933, as amended, and Regulation D promulgated under the Securities Act. Such issuance was authorized by the NYSE American on January 15, 2020.

SEC source: 0001214659-19-007416 · marketforms-46428.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,277.5

F1 · balance_after: On August 5, 2019, the Issuer effectuated a reverse split of its issued and outstanding Common Stock by a ratio of one-for-forty. All references to Common Stock in this Form 4 have been retroactively restated.

SEC source: 0001214659-19-007416 · marketforms-46428.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,795.5

F1 · balance_after: On August 5, 2019, the Issuer effectuated a reverse split of its issued and outstanding Common Stock by a ratio of one-for-forty. All references to Common Stock in this Form 4 have been retroactively restated.

SEC source: 0001214659-19-006142 · marketforms-45874.xml · derivative · entry 2

SMITH ROBERT O · CIK 0000091335 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 54 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 · security: On May 30, 2017, the reporting person purchased for $26,000 one-half unit consisting of 10,833 shares of Series C Preferred Stock. Each share of Series C Preferred Stock has a stated value of $2.40 and, at the time of issuance, had a conversion price of $0.60.

F2 · derivative.exercise_price: The conversion price of the shares of Series C Preferred Stock has been adjusted to reflect the Issuer's Reverse Stock Split with a ratio of one-for-twenty, which became effective on March 14, 2019, and the Issuer's Reverse Stock Split with a ratio of one-for-forty, which became effective on August 5, 2019. The 10,833 shares of Series C Preferred Stock have an aggregate stated value of $26,000, which upon conversion resulted in the issuance of 54 shares of common stock.

F2 · price: The conversion price of the shares of Series C Preferred Stock has been adjusted to reflect the Issuer's Reverse Stock Split with a ratio of one-for-twenty, which became effective on March 14, 2019, and the Issuer's Reverse Stock Split with a ratio of one-for-forty, which became effective on August 5, 2019. The 10,833 shares of Series C Preferred Stock have an aggregate stated value of $26,000, which upon conversion resulted in the issuance of 54 shares of common stock.

F3 · derivative.expiration_date: Not applicable.

SEC source: 0001214659-19-006142 · marketforms-45874.xml · nonDerivative · entry 1

SMITH ROBERT O · CIK 0000091335 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55

F1 · security: On May 30, 2017, the reporting person purchased for $26,000 one-half unit consisting of 10,833 shares of Series C Preferred Stock. Each share of Series C Preferred Stock has a stated value of $2.40 and, at the time of issuance, had a conversion price of $0.60.

F2 · shares: The conversion price of the shares of Series C Preferred Stock has been adjusted to reflect the Issuer's Reverse Stock Split with a ratio of one-for-twenty, which became effective on March 14, 2019, and the Issuer's Reverse Stock Split with a ratio of one-for-forty, which became effective on August 5, 2019. The 10,833 shares of Series C Preferred Stock have an aggregate stated value of $26,000, which upon conversion resulted in the issuance of 54 shares of common stock.

SEC source: 0000919574-19-005974 · ownership.xml · nonDerivative · entry 3

Gu Ding · CIK 0001787636 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,000

SEC source: 0000919574-19-005974 · ownership.xml · nonDerivative · entry 2

Gu Ding · CIK 0001787636 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,000

SEC source: 0000919574-19-005974 · ownership.xml · nonDerivative · entry 1

Gu Ding · CIK 0001787636 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,000

SEC source: 0001214659-19-005417 · marketforms-45532.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,277.5

F1 · balance_after: On August 5, 2019, the Issuer effectuated a reverse split of its issued and outstanding Common Stock by a ratio of one-for-forty. All references to Common Stock in this Form 4 have been retroactively restated.

SEC source: 0001214659-19-004176 · marketforms-45215.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,101

F1 · balance_after: On March 14, 2019, the Issuer effectuated a reverse split of its issued and outstanding Common Stock by a ratio of one-for-twenty. All references to Common Stock in this Form 4 have been retroactively restated.

SEC source: 0001214659-19-003828 · marketforms-45067.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,101

F1 · balance_after: On March 14, 2019, the Issuer effectuated a reverse split of its issued and outstanding Common Stock by a ratio of one-for-twenty. All references to Common Stock in this Form 4 have been retroactively restated.

SEC source: 0001214659-19-003925 · marketforms-45114.xml · derivative · entry 2

Nisser Henry Carl · CIK 0001775938 · Executive VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 750,000

Underlying: Common Stock · 750,000 shares

Expires 2016-05-21

F2 · derivative.exercise_date: Pursuant to the Agreement, Mr. Nisser received an option to purchase 200,000 shares of Common Stock at a per share exercise price equal to the closing market price on the effective date, which option has a term of seven (7) years. Pursuant to the Amendment, the option was amended to provide for the purchase of 750,000 shares of Common Stock.

SEC source: 0001214659-19-003715 · marketforms-44998.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,101

F1 · balance_after: On March 14, 2019, the Issuer effectuated a reverse split of its issued and outstanding Common Stock by a ratio of one-for-twenty. All references to Common Stock in this Form 4 have been retroactively restated.

SEC source: 0001214659-19-003421 · marketforms-44943.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,101

F1 · balance_after: On March 14, 2019, the Issuer effectuated a reverse split of its issued and outstanding Common Stock by a ratio of one-for-twenty. All references to Common Stock in this Form 4 have been retroactively restated.

SEC source: 0001214659-19-003211 · marketforms-44883.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,101

F1 · balance_after: On March 14, 2019, the Issuer effectuated a reverse split of its issued and outstanding Common Stock by a ratio of one-for-twenty. All references to Common Stock in this Form 4 have been retroactively restated.

SEC source: 0001214659-19-001386 · marketforms-44180.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,722,024

SEC source: 0001214659-19-001316 · marketforms-44149.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 722,024

SEC source: 0001214659-20-000413 · marketforms-47474.xml · nonDerivative · entry 1

Ault & Company, Inc. · CIK 0001734770 · Director · See Remark · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 666,945

F1 · shares: On December 22, 2019, the Reporting Person agreed to acquire 19.9% of the Issuer's issued and outstanding shares of common stock, or 660,667 shares, at $1.12 per share for a total purchase price of $739,948, pursuant to a securities purchase agreement in reliance upon the provisions of Section 4(a)(2) of the Securities Act of 1933, as amended, and Regulation D promulgated under the Securities Act. Such issuance was authorized by the NYSE American on January 15, 2020.

SEC source: 0001214659-19-000265 · marketforms-43708.xml · nonDerivative · entry 1

Horne William B · CIK 0001333268 · Director · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,045,000

F1 · balance_after: For his services, Mr. Horne received 1,000,000 shares of restricted common stock which shares shall vest in installments of two hundred thousand (200,000) shares annually over five (5) years beginning on January 1, 2019; provided, however, that such shares may, in whole or in part, in the discretion of the Compensation Committee of the Issuer, vest immediately upon the filing of the Issuer's Annual Report on Form 10-K with the Securities and Exchange Commission that shows that the Issuer's revenues for the applicable fiscal year reached or exceeded $100,000,000; notwithstanding the foregoing, before the Issuer accelerates any such vesting, the Issuer's Compensation Committee must prior thereto have obtained the consent of Mr. Horne, which consent may be withheld in his discretion.

SEC source: 0001214659-19-000266 · marketforms-43709.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 305,357

SEC source: 0001214659-19-000024 · marketforms-43632.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 295,357

SEC source: 0001214659-18-007768 · marketforms-43570.xml · nonDerivative · entry 1

Horne William B · CIK 0001333268 · Director · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,020,000

F1 · balance_after: For his services, Mr. Horne received 1,000,000 shares of restricted common stock which shares shall vest in installments of two hundred thousand (200,000) shares annually over five (5) years beginning on January 1, 2019; provided, however, that such shares may, in whole or in part, in the discretion of the Compensation Committee of the Issuer, vest immediately upon the filing of the Issuer's Annual Report on Form 10-K with the Securities and Exchange Commission that shows that the Issuer's revenues for the applicable fiscal year reached or exceeded $100,000,000; notwithstanding the foregoing, before the Issuer accelerates any such vesting, the Issuer's Compensation Committee must prior thereto have obtained the consent of Mr. Horne, which consent may be withheld in his discretion.

SEC source: 0001214659-18-007789 · marketforms-43575.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 285,357

SEC source: 0001214659-18-007721 · marketforms-43530.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 265,357

SEC source: 0001214659-18-007720 · marketforms-43529.xml · nonDerivative · entry 1

Horne William B · CIK 0001333268 · Director · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,004,000

F1 · balance_after: For his services, Mr. Horne received 1,000,000 shares of restricted common stock which shares shall vest in installments of two hundred thousand (200,000) shares annually over five (5) years beginning on January 1, 2019; provided, however, that such shares may, in whole or in part, in the discretion of the Compensation Committee of the Issuer, vest immediately upon the filing of the Issuer's Annual Report on Form 10-K with the Securities and Exchange Commission that shows that the Issuer's revenues for the applicable fiscal year reached or exceeded $100,000,000; notwithstanding the foregoing, before the Issuer accelerates any such vesting, the Issuer's Compensation Committee must prior thereto have obtained the consent of Mr. Horne, which consent may be withheld in his discretion.

SEC source: 0001214659-18-007645 · marketforms-43491.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,357

SEC source: 0001214659-18-007605 · marketforms-43480.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,357