What changed in this filing

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Item 5. Other Information

2023-11-20 compared with 2023-08-21 · 64 added, 23 removed, 42 unchanged (67% of the section changed)

OTHER INFORMATION

On November 15, 2023, we filed the certificate of designation

of the Series C convertible preferred stock to be issued pursuant to the SPA entered into with Ault & Company on November 6, 2023.

As of the date of this filing, no shares of Series C convertible preferred stock have been issued.

Form of Certificate of Determination of Preferences, Rights and Limitations of Series B Convertible Preferred Stock, dated March 3, 2017.

22 unchanged sentences

Incorporated by reference to the Current Report on Form 8-K filed on June 17, 2022 as Exhibit 3.1 thereto.

Certificate of Designation of Series E Convertible Preferred Stock.

Incorporated by reference to the Current Report on Form 8-K filed on March 30, 2023 as Exhibit 3.1 thereto.

Certificate of Designation of Series F Convertible Preferred Stock.

Incorporated by reference to the Current Report on Form 8-K filed on March 30, 2023 as Exhibit 3.2 thereto.

Certificate of Designation of Series G Convertible Preferred Stock.

Incorporated by reference to the Current Report on Form 8-K filed on March 30, 2023 as Exhibit 3.3 thereto.

Certificate of Amendment to Certificate of Incorporation (1-for-300 Reverse Stock Split of Common Stock), dated May 15, 2023.

Incorporated herein by reference to the Current Report on Form 8-K filed on May 16, 2023 as Exhibit 3.1 thereto.

Certificate of Designation of Series C Convertible Preferred Stock.

Securities Purchase Agreement, dated May 1, 2023.

Incorporated by reference to the Current Report on Form 8-K filed on May 2, 2023 as Exhibit 10.1 thereto.

Form of Warrant.

Incorporated by reference to the Current Report on Form 8-K filed on May 2, 2023 as Exhibit 10.2 thereto.

At-The-Market Issuance Sales Agreement, dated June 9, 2023, with Ascendiant Capital Markets, LLC.

Incorporated by reference to the Current Report on Form 8-K filed on June 9, 2023 as Exhibit 10.1 thereto.

Form of Loan Agreement, dated June 8, 2023.

Incorporated by reference to the Current Report on Form 8-K filed on June 14, 2023 as Exhibit 10.1 thereto.

Certificate of Elimination of the Series E convertible redeemable preferred stock of Ault Alliance, Inc.

Incorporated herein by reference to the Current Report on Form 8-K filed on August 18, 2023 as Exhibit 3.1 thereto.

Certificate of Elimination of the Series F convertible redeemable preferred stock of Ault Alliance, Inc.

Incorporated herein by reference to the Current Report on Form 8-K filed on August 18, 2023 as Exhibit 3.2 thereto.

Certificate of Elimination of the Series G convertible redeemable preferred stock of Ault Alliance, Inc.

Incorporated herein by reference to the Current Report on Form 8-K filed on August 18, 2023 as Exhibit 3.3 thereto.

Certificate of Elimination of the Series C convertible preferred stock of Ault Alliance, Inc.

Incorporated herein by reference to the Current Report on Form 8-K filed on October 12, 2023 as Exhibit 3.1 thereto.

Certificate of Designation of Preferences, Rights and Limitations of Series C Cumulative Preferred Stock, filed November 15, 2023.

Amendment to At-The-Market Issuance Sales Agreement, dated July 12, 2023, with Ascendiant Capital Markets, LLC.

Incorporated by reference to the Current Report on Form 8-K filed on July 13, 2023 as Exhibit 10.1 thereto.

Form of First Amendment and Joinder to Loan and Guarantee Agreement.

Incorporated by reference to the Current Report on Form 8-K filed on July 20, 2023 as Exhibit 10.1 thereto.

Form of Montana Security Agreement.

Incorporated by reference to the Current Report on Form 8-K filed on July 20, 2023 as Exhibit 10.2 thereto.

Form of the Circle 8 Pledge.

Incorporated by reference to the Current Report on Form 8-K filed on July 20, 2023 as Exhibit 10.3 thereto.

Form of the Florida Mortgage Amendment.

Incorporated by reference to the Current Report on Form 8-K filed on July 20, 2023 as Exhibit 10.4 thereto.

Form of the Michigan Mortgage Amendment.

Incorporated by reference to the Current Report on Form 8-K filed on July 20, 2023 as Exhibit 10.5 thereto.

Form of Exchange Agreement.

Incorporated by reference to the Current Report on Form 8-K filed on August 3, 2023 as Exhibit 10.1 thereto.

Form of Exchange Note.

Incorporated by reference to the Current Report on Form 8-K filed on August 3, 2023 as Exhibit 4.1 thereto.

Form of Amended and Restated Assignment.

Incorporated by reference to the Current Report on Form 8-K/A filed on August 16, 2023 as Exhibit 10.2 thereto.

Form of Guaranty.

Incorporated by reference to the Current Report on Form 8-K filed on August 3, 2023 as Exhibit 10.3 thereto.

Form of Investor Agreement.

Incorporated by reference to the Current Report on Form 8-K filed on September 1, 2023 as Exhibit 10.1 thereto.

Form of 7.00% Senior Note due 2024.

Incorporated by reference to the Current Report on Form 8-K filed on September 1, 2023 as Exhibit 4.1 thereto.

Form of 8.50% Senior Note due 2026.

Incorporated by reference to the Current Report on Form 8-K filed on September 1, 2023 as Exhibit 4.2 thereto.

Form of 10.50% Senior Note due 2028.

Incorporated by reference to the Current Report on Form 8-K filed on September 1, 2023 as Exhibit 4.3 thereto.

Amendment to At-The-Market Issuance Sales Agreement, dated September 7, 2023, with Ascendiant Capital Markets, LLC.

Incorporated by reference to the Current Report on Form 8-K filed on September 8, 2023 as Exhibit 10.1 thereto.

Form of Term Note.

Incorporated by reference to the Current Report on Form 8-K filed on September 11, 2023 as Exhibit 4.1 thereto.

Form of Guaranty.

Incorporated by reference to the Current Report on Form 8-K filed on September 11, 2023 as Exhibit 10.1 thereto.

Securities Exchange Agreement, dated September 27, 2023, by and between the Company and the Investor.

Incorporated by reference to the Current Report on Form 8-K filed on September 28, 2023 as Exhibit 10.1 thereto.

Form of Note.

Incorporated by reference to the Current Report on Form 8-K filed on September 28, 2023 as Exhibit 4.1 thereto.

Certification of Chief Executive Officer required by Rule 13a-14(a) or Rule 15d-14(a).

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Inline XBRL Instance Document.

The instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document.

Inline XBRL Taxonomy Extension Schema Document.

Inline XBRL Taxonomy Extension Calculation Linkbase Document.

Inline XBRL Taxonomy Extension Label Linkbase Document.

Inline XBRL Taxonomy Extension Presentation Linkbase Document.

Inline XBRL Taxonomy Extension Definition Linkbase Document.

Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101).

document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document.

Inline XBRL Taxonomy Extension Schema

Inline XBRL Taxonomy Extension Calculation

Linkbase Document.

Inline XBRL Taxonomy Extension Label

Linkbase Document.

Inline XBRL Taxonomy Extension Presentation

Linkbase Document.

Inline XBRL Taxonomy Extension Definition

Linkbase Document.

Cover Page Interactive Data File (formatted

as Inline XBRL and contained in Exhibit 101).

_______________________

Filed herewith.

2 unchanged sentences

the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

August 21, 2023

November 20, 2023

AULT ALLIANCE, INC.

6 unchanged sentences

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-Q

Item 5. Other Information