GPUS

SEC source: 0001214659-23-015628 · marketforms-63600.xml · nonDerivative · entry 2

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 6,539

SEC source: 0001214659-23-015628 · marketforms-63600.xml · nonDerivative · entry 1

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

10b5-1 filing: Plan reported

Ownership: Indirect · By Ault Alpha LP

Disclosed balance after: 679,969

F1 · ownership.nature: 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 LP ("Ault Alpha"), respectively. As such, Mr. Ault is deemed to beneficially own the shares held by Ault Alpha.

SEC source: 0001214659-23-013845 · ownership.xml · derivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Ault & Company, Inc.

Disclosed balance after: 47,685,988

Underlying: Common Stock · 47,685,988 shares

Expires 2028-10-13

F4 · price: The warrants were received as additional consideration for the purchase of the Note.

F2 · derivative.underlying_shares: The Company may not issue Conversion Shares and/or shares of common stock issuable upon exercise of the warrants issued in connection with the purchase of the Note to the extent such issuances would result in an aggregate number of shares of common stock exceeding, 5,724,888, which represented 19.99% of the total shares of common stock issued and outstanding as of the Closing Date, in accordance with the rules and regulations of the NYSE American, LLC unless the Issuer first obtains stockholder approval.

F3 · ownership.nature: Milton C. Ault, III, is the Chief Executive Officer of Ault & Co. and is deemed to beneficially own the shares held by Ault & Co.

SEC source: 0001214659-23-013845 · ownership.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Ault & Company, Inc.

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires 2028-10-12

F1 · derivative.exercise_price: On October 13, 2023 (the "Closing Date"), the Issuer issued a 10% Senior Secured Convertible Promissory Note (the "Note") to Ault & Company, Inc. ("Ault & Co."), with a principal face amount of $17,519,832. The Note bears interest at the rate of 10% per annum and matures on October 12, 2028. Interest is payable, at Ault & Co.'s option, in cash or shares of common stock at the applicable Conversion Price (as defined below). The Note is convertible, at Ault & Co.'s option, into shares of common stock ("Conversion Shares") at a conversion price that is the greater of (i) $0.10 per share (the "Floor Price"), which such Floor Price shall not be adjusted for stock dividends, stock splits, stock combinations and other similar transactions and (ii) the lesser of (A) $0.2952 or (B) 105% of the closing sale price of the Common Stock on the trading day immediately prior to the date of conversion (the "Conversion Price").

F1 · derivative.underlying_shares: On October 13, 2023 (the "Closing Date"), the Issuer issued a 10% Senior Secured Convertible Promissory Note (the "Note") to Ault & Company, Inc. ("Ault & Co."), with a principal face amount of $17,519,832. The Note bears interest at the rate of 10% per annum and matures on October 12, 2028. Interest is payable, at Ault & Co.'s option, in cash or shares of common stock at the applicable Conversion Price (as defined below). The Note is convertible, at Ault & Co.'s option, into shares of common stock ("Conversion Shares") at a conversion price that is the greater of (i) $0.10 per share (the "Floor Price"), which such Floor Price shall not be adjusted for stock dividends, stock splits, stock combinations and other similar transactions and (ii) the lesser of (A) $0.2952 or (B) 105% of the closing sale price of the Common Stock on the trading day immediately prior to the date of conversion (the "Conversion Price").

F2 · derivative.underlying_shares: The Company may not issue Conversion Shares and/or shares of common stock issuable upon exercise of the warrants issued in connection with the purchase of the Note to the extent such issuances would result in an aggregate number of shares of common stock exceeding, 5,724,888, which represented 19.99% of the total shares of common stock issued and outstanding as of the Closing Date, in accordance with the rules and regulations of the NYSE American, LLC unless the Issuer first obtains stockholder approval.

F3 · ownership.nature: Milton C. Ault, III, is the Chief Executive Officer of Ault & Co. and is deemed to beneficially own the shares held by Ault & Co.

SEC source: 0001214659-23-009781 · marketforms-62132.xml · nonDerivative · entry 2

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

10b5-1 filing: Plan reported

Ownership: Indirect · By Ault Alpha LP

Disclosed balance after: 333,325

F3 · 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 $4.2599. The range of purchase prices on the transaction date was $4.0755 to $4.2613 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 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 LP ("Ault Alpha"), respectively. As such, Mr. Ault is deemed to beneficially own the shares held by Ault Alpha.

SEC source: 0001214659-23-009781 · marketforms-62132.xml · nonDerivative · entry 1

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

10b5-1 filing: Plan reported

Ownership: Indirect · By Ault Alpha LP

Disclosed balance after: 241,614

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 $4.1611. The range of purchase prices on the transaction date was $4.0581 to $4.3225 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 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 LP ("Ault Alpha"), respectively. As such, Mr. Ault is deemed to beneficially own the shares held by Ault Alpha.

SEC source: 0001214659-23-009667 · marketforms-62110.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Ault Alpha LP

Disclosed balance after: 101,184

F1 · ownership.nature: 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 LP ("Ault Alpha"), respectively. As such, Mr. Ault is deemed to beneficially own the shares held by Ault Alpha.

SEC source: 0001214659-23-009667 · marketforms-62110.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Ault Alpha LP

Disclosed balance after: 96,184

F1 · ownership.nature: 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 LP ("Ault Alpha"), respectively. As such, Mr. Ault is deemed to beneficially own the shares held by Ault Alpha.

SEC source: 0001214659-23-009667 · marketforms-62110.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110

SEC source: 0001214659-23-009048 · marketforms-62012.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Ault Alpha LP

Disclosed balance after: 91,684

F1 · ownership.nature: 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 LP ("Ault Alpha"), respectively. As such, Mr. Ault is deemed to beneficially own the shares held by Ault Alpha.

SEC source: 0001214659-25-000238 · marketforms-67764.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160

SEC source: 0001214659-23-008800 · marketforms-61965.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100

SEC source: 0001214659-23-008044 · marketforms-61672.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,039

F2 · 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 $11.6536. The range of purchase prices on the transaction date was $11.60 to $11.76 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.

SEC source: 0001214659-23-008044 · marketforms-61672.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,939

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 $12.4383. The range of purchase prices on the transaction date was $12.27 to $12.472 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.

SEC source: 0001214659-23-007898 · marketforms-61670.xml · nonDerivative · entry 4

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

10b5-1 filing: Plan reported

Ownership: Indirect · By Ault & Company, Inc.

Disclosed balance after: 5,729

F3 · 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 $13.804. The range of purchase prices on the transaction date was $13.2922 to $14.0233 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.

F4 · 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: 0001214659-23-007898 · marketforms-61670.xml · nonDerivative · entry 3

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

10b5-1 filing: Plan reported

Ownership: Indirect · By Ault Alpha LP

Disclosed balance after: 186,325

F2 · ownership.nature: 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 LP ("Ault Alpha"), respectively. As such, Mr. Ault is deemed to beneficially own the shares held by Ault Alpha.

SEC source: 0001214659-23-007898 · marketforms-61670.xml · nonDerivative · entry 2

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,819

SEC source: 0001214659-23-007898 · marketforms-61670.xml · nonDerivative · entry 1

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,789

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 $13.068. The range of purchase prices on the transaction date was $12.51 to $13.265 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.

SEC source: 0001214659-23-007419 · marketforms-61547.xml · nonDerivative · entry 2

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

10b5-1 filing: Plan reported

Ownership: Indirect · By Ault Alpha LP

Disclosed balance after: 54,862,610

F1 · ownership.nature: 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 LP ("Ault Alpha"), respectively. As such, Mr. Ault is deemed to beneficially own the shares held by Ault Alpha.

SEC source: 0001214659-23-007419 · marketforms-61547.xml · nonDerivative · entry 1

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

10b5-1 filing: Plan reported

Ownership: Indirect · By Ault Alpha LP

Disclosed balance after: 54,762,610

F1 · ownership.nature: 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 LP ("Ault Alpha"), respectively. As such, Mr. Ault is deemed to beneficially own the shares held by Ault Alpha.

SEC source: 0001214659-23-007319 · marketforms-61539.xml · nonDerivative · entry 1

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

10b5-1 filing: Plan reported

Ownership: Indirect · By Ault Alpha LP

Disclosed balance after: 53,262,610

F1 · ownership.nature: 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 LP ("Ault Alpha"), respectively. As such, Mr. Ault is deemed to beneficially own the shares held by Ault Alpha.

SEC source: 0001214659-23-006467 · marketforms-61392.xml · nonDerivative · entry 1

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

10b5-1 filing: Plan reported

Ownership: Indirect · By Ault Alpha LP

Disclosed balance after: 52,862,610

F1 · ownership.nature: 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 LP ("Ault Alpha"), respectively. As such, Mr. Ault is deemed to beneficially own the shares held by Ault Alpha.

SEC source: 0001214659-23-006019 · marketforms-61335.xml · nonDerivative · entry 2

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

10b5-1 filing: Plan reported

Ownership: Indirect · By Ault Alpha LP

Disclosed balance after: 51,744,661

F1 · ownership.nature: 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 LP ("Ault Alpha"), respectively. As such, Mr. Ault is deemed to beneficially own the shares held by Ault Alpha.

SEC source: 0001214659-23-006019 · marketforms-61335.xml · nonDerivative · entry 1

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

10b5-1 filing: Plan reported

Ownership: Indirect · By Ault Alpha LP

Disclosed balance after: 51,494,661

F1 · ownership.nature: 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 LP ("Ault Alpha"), respectively. As such, Mr. Ault is deemed to beneficially own the shares held by Ault Alpha.

SEC source: 0001214659-23-005887 · marketforms-61309.xml · nonDerivative · entry 2

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

10b5-1 filing: Plan reported

Ownership: Indirect · By Ault Alpha LP

Disclosed balance after: 50,480,000

F1 · ownership.nature: 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 LP ("Ault Alpha"), respectively. As such, Mr. Ault is deemed to beneficially own the shares held by Ault Alpha.

SEC source: 0001214659-23-005887 · marketforms-61309.xml · nonDerivative · entry 1

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

10b5-1 filing: Plan reported

Ownership: Indirect · By Ault Alpha LP

Disclosed balance after: 50,240,000

F1 · ownership.nature: 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 LP ("Ault Alpha"), respectively. As such, Mr. Ault is deemed to beneficially own the shares held by Ault Alpha.

SEC source: 0001214659-23-000540 · marketforms-58167.xml · derivative · entry 2

SMITH ROBERT O · CIK 0000091335 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2023-01-09

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 Alliance, Inc. (formerly, BitNile Holdings, Inc.) (the "Issuer").

F3 · derivative.exercise_date: On January 8, 2021, Mr. Smith was granted 50,000 restricted shares of the Issuer's common stock, which initially vest in four equal installments on each of May 15, 2022, November 15, 2022, May 1, 2023 and November 15, 2023. In November 2022, the Issuer's stockholders, at the Issuer's annual stockholder meeting, approved the acceleration of the vesting of the last two tranches, after approval by the NYSE American. The final 25,000 shares of the Issuer's common stock were issued on January 9, 2023.

SEC source: 0001214659-23-000540 · marketforms-58167.xml · nonDerivative · entry 1

SMITH ROBERT O · CIK 0000091335 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,000

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: 0001214659-23-000544 · marketforms-58173.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 300,000 shares

Expires 2023-01-09

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.

F5 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of common stock, par value $0.001, of Ault Alliance, Inc. (formerly, BitNile Holdings, Inc.) (the "Issuer").

F6 · derivative.exercise_date: On January 8, 2021, Mr. Ault was granted 400,000 restricted shares of the Issuer's common stock, which initially vest in four equal installments on each of November 15, 2022, May 1, 2023, November 15, 2023 and May 15, 2024. In November 2022, the Issuer's stockholders, at the Issuer's annual stockholder meeting, approved the acceleration of the vesting of the last three tranches, after approval by the NYSE American. The final 300,000 shares of the Issuer's common stock were issued on January 9, 2023.

SEC source: 0001214659-23-000544 · marketforms-58173.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: 809,792

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: 0001214659-23-000546 · marketforms-58175.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 300,000 shares

Expires 2023-01-09

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 Alliance, Inc. (formerly, BitNile Holdings, Inc.) (the "Issuer").

F3 · derivative.exercise_date: On January 8, 2021, Mr. Horne was granted 400,000 restricted shares of the Issuer's common stock, which initially vest in four equal installments on each of November 15, 2022, May 1, 2023, November 15, 2023 and May 15, 2024. In November 2022, the Issuer's stockholders, at the Issuer's annual stockholder meeting, approved the acceleration of the vesting of the last three tranches, after approval by the NYSE American. The final 300,000 shares of the Issuer's common stock were issued on January 9, 2023.

SEC source: 0001214659-23-000546 · marketforms-58175.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 603,306

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: 0001214659-23-000545 · marketforms-58174.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 300,000 shares

Expires 2023-01-09

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 Alliance, Inc. (formerly, BitNile Holdings, Inc.) (the "Issuer").

F3 · derivative.exercise_date: On January 8, 2021, Mr. Nisser was granted 400,000 restricted shares of the Issuer's common stock, which initially vest in four equal installments on each of November 15, 2022, May 1, 2023, November 15, 2023 and May 15, 2024. In November 2022, the Issuer's stockholders, at the Issuer's annual stockholder meeting, approved the acceleration of the vesting of the last three tranches, after approval by the NYSE American. The final 300,000 shares of the Issuer's common stock were issued on January 9, 2023.

SEC source: 0001214659-23-000545 · marketforms-58174.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 606,250

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: 0001214659-23-000543 · marketforms-58172.xml · derivative · entry 2

Bentz Jeffrey Allen · CIK 0001719817 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2023-01-09

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 Alliance, Inc. (formerly, BitNile Holdings, Inc.) (the "Issuer").

F3 · derivative.exercise_date: On January 8, 2021, Mr. Bentz was granted 50,000 restricted shares of the Issuer's common stock, which initially vest in four equal installments on each of May 15, 2022, November 15, 2022, May 1, 2023 and November 15, 2023. In November 2022, the Issuer's stockholders, at the Issuer's annual stockholder meeting, approved the acceleration of the vesting of the last two tranches, after approval by the NYSE American. The final 25,000 shares of the Issuer's common stock were issued on January 9, 2023.

SEC source: 0001214659-23-000543 · marketforms-58172.xml · nonDerivative · entry 1

Bentz Jeffrey Allen · CIK 0001719817 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

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: 0001214659-23-000542 · marketforms-58170.xml · derivative · entry 2

ASH HOWARD · CIK 0001677305 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2023-01-09

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 Alliance, Inc. (formerly, BitNile Holdings, Inc.) (the "Issuer").

F3 · derivative.exercise_date: On January 8, 2021, Mr. Ash was granted 50,000 restricted shares of the Issuer's common stock, which initially vest in four equal installments on each of May 15, 2022, November 15, 2022, May 1, 2023 and November 15, 2023. In November 2022, the Issuer's stockholders, at the Issuer's annual stockholder meeting, approved the acceleration of the vesting of the last two tranches, after approval by the NYSE American. The final 25,000 shares of the Issuer's common stock were issued on January 9, 2023.

SEC source: 0001214659-23-000542 · marketforms-58170.xml · nonDerivative · entry 1

ASH HOWARD · CIK 0001677305 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

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: 0001214659-23-000541 · marketforms-58169.xml · derivative · entry 2

Rosenberg Mordechai · CIK 0001647162 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2023-01-09

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 Alliance, Inc. (formerly, BitNile Holdings, Inc.) (the "Issuer").

F3 · derivative.exercise_date: On January 8, 2021, Mr. Rosenberg was granted 50,000 restricted shares of the Issuer's common stock, which initially vest in four equal installments on each of May 15, 2022, November 15, 2022, May 1, 2023 and November 15, 2023. In November 2022, the Issuer's stockholders, at the Issuer's annual stockholder meeting, approved the acceleration of the vesting of the last two tranches, after approval by the NYSE American. The final 25,000 shares of the Issuer's common stock were issued on January 9, 2023.

SEC source: 0001214659-23-000541 · marketforms-58169.xml · nonDerivative · entry 1

Rosenberg Mordechai · CIK 0001647162 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

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: 0001214659-23-000539 · marketforms-58168.xml · derivative · entry 3

CRAGUN KENNETH S · CIK 0001327261 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 75,000 shares

Expires 2023-01-09

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 Alliance, Inc. (formerly, BitNile Holdings, Inc.) (the "Issuer").

F4 · derivative.exercise_date: On May 21, 2021, Mr. Cragun was granted 100,000 restricted shares of the Issuer's common stock, which initially 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. Effective January 9, 2023, the Issuer approved the acceleration of the vesting of the last six tranches. The final 75,000 shares of the Issuer's common stock were issued on January 9, 2023.

SEC source: 0001214659-23-000539 · marketforms-58168.xml · derivative · entry 2

CRAGUN KENNETH S · CIK 0001327261 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2023-01-09

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 Alliance, Inc. (formerly, BitNile Holdings, Inc.) (the "Issuer").

F3 · derivative.exercise_date: On January 8, 2021, Mr. Cragun was granted 100,000 restricted shares of the Issuer's common stock, which initially vest semi-annually on each of May 15 and November 15 in equal tranches on such dates over a period of four (4) years, with the exception of the first tranche of 12,500 which vested on August 24, 2021. Effective January 9, 2023, the Issuer approved the acceleration of the vesting of the last four tranches. The final 50,000 shares of the Issuer's common stock were issued on January 9, 2023.

SEC source: 0001214659-23-000539 · marketforms-58168.xml · nonDerivative · entry 1

CRAGUN KENNETH S · CIK 0001327261 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

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: 0001214659-22-015493 · marketforms-58025.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ault Alpha LP

Disclosed balance after: 50,000,000

F1 · security: The common stock purchased by Ault Alpha LP ("Ault Alpha") was effected pursuant to a Rules 10b-18 and 10b5-1 stock purchase plan dated May 24, 2022, adopted by Ault Alpha.

F2 · ownership.nature: 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.

SEC source: 0001214659-22-015127 · marketforms-57900.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ault Alpha LP

Disclosed balance after: 48,086,223

F1 · security: The common stock purchased by Ault Alpha LP ("Ault Alpha") was effected pursuant to a Rules 10b-18 and 10b5-1 stock purchase plan dated May 24, 2022, adopted by Ault Alpha.

F2 · ownership.nature: 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.

SEC source: 0001214659-22-014803 · marketforms-57848.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ault Alpha LP

Disclosed balance after: 47,086,223

F1 · ownership.nature: 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.

SEC source: 0001214659-22-013980 · marketforms-57608.xml · derivative · entry 2

SMITH ROBERT O · CIK 0000091335 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 12,500 shares

Expires 2023-11-15

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 BitNile Holdings, Inc.

F3 · derivative.exercise_date: On January 8, 2021, Mr. Smith was granted 50,000 restricted shares of the Issuer's common stock, which vest in four equal installments on each of May 15, 2022, November 15, 2022, May 1, 2023 and November 15, 2023.

SEC source: 0001214659-22-013980 · marketforms-57608.xml · nonDerivative · entry 1

SMITH ROBERT O · CIK 0000091335 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,000

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: 0001214659-22-013979 · marketforms-57603.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 100,000 shares

Expires 2024-05-15

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 BitNile Holdings, Inc.

F3 · derivative.exercise_date: On January 8, 2021, Mr. Nisser was granted 400,000 restricted shares of the Issuer's common stock, which vest in four equal installments on each of November 15, 2022, May 1, 2023, November 15, 2023 and May 15, 2024.

SEC source: 0001214659-22-013979 · marketforms-57603.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 306,250

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.