RISKON INTERNATIONAL, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 16 rows, 16 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2024-02-06: Reporting owner Spaziano Joseph M; Form 3; Security Series C Convertible Preferred Stock; Transaction Holding.
- 2024-02-06: Reporting owner Horne William B.; Form 3; Security Series C Convertible Preferred Stock; Transaction Holding.
- 2024-02-06: Reporting owner Pulsipher Kayson C.; Form 3; Security Series C Convertible Preferred Stock; Transaction Holding.
- 2024-02-06: Reporting owner Gintz Douglas; Form 3; Security Series C Convertible Preferred Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2024-02-06 holding as of filing | Spaziano Joseph M Officer (Chief Operating Officer) | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | $7.50 exercise price | 2024-02-06 | ||
| 2024-02-06 holding as of filing | Horne William B. Director | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | $7.50 exercise price | 2024-02-06 | ||
| 2024-02-06 holding as of filing | Pulsipher Kayson C. Officer (Chief Financial Officer) | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | $7.50 exercise price | 2024-02-06 | ||
| 2024-02-06 holding as of filing | Gintz Douglas Officer (Chief Technology Officer) | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | $7.50 exercise price | 2024-02-06 | ||
| 2024-02-02 holding as of filing | SMITH ROBERT O Director | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | $7.50 exercise price | 2024-02-02 | ||
| 2023-11-15 | AULT MILTON C III 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Ault Alliance, Inc. | P Open market or private purchase of non-derivative or derivative security | +603 603 owned after | $15,085,930.69 | 2023-11-17 | |
| 2023-08-25 holding as of filing | AULT MILTON C III 10% Owner | 3/A | Series A Convertible Redeemable Preferred Stock Derivative · Indirect · By Ault Lending, LLC | Holding | $7.50 exercise price | 2023-08-25 | ||
| 2023-08-25 holding as of filing | AULT MILTON C III 10% Owner | 3/A | Series B Convertible Preferred Stock Derivative · Indirect · By Ault Alliance, Inc. | Holding | $7.50 exercise price | 2023-08-25 | ||
| 2023-08-25 holding as of filing | AULT MILTON C III 10% Owner | 3/A | Series C Convertible Preferred Stock Derivative · Indirect · By Ault Alliance, Inc. | Holding | $7.50 exercise price | 2023-08-25 | ||
| 2023-08-25 holding as of filing | AULT MILTON C III 10% Owner | 3 | Series A Convertible Redeemable Preferred Stock Derivative · Indirect · By Ault Lending, LLC | Holding | $7.50 exercise price | 2023-08-25 | ||
| 2023-08-25 holding as of filing | AULT MILTON C III 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · By Ault Alliance, Inc | Holding | $7.50 exercise price | 2023-08-25 | ||
| 2023-08-25 holding as of filing | AULT MILTON C III 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · By Ault Alliance, Inc | Holding | $7.50 exercise price | 2023-08-25 | ||
| 2023-03-10 holding as of filing | Ault Alliance, Inc. 10% Owner | 3 | Series A Convertible Redeemable Preferred Stock Derivative · Indirect · (m) | Holding | $0.25 exercise price | 2023-03-10 | ||
| 2023-03-10 holding as of filing | Ault Alliance, Inc. 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct · (m) | Holding | $0.25 exercise price | 2023-03-10 | ||
| 2023-03-06 | Nisser Henry Carl Director, Officer (President) | 4/A | Series C Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150 150 owned after | $0.25 exercise price | 2023-03-08 | |
| 2023-03-06 | Nisser Henry Carl Director, Officer (President) | 4 | Series C Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150 6,000,000 owned after | $0.25 | 2023-03-07 |