OTHER INFORMATION
−Removed: On November 15, 2023, we filed the certificate of designation
−Removed: of the Series C convertible preferred stock to be issued pursuant to the SPA entered into with Ault & Company on November 6, 2023.
−Removed: As of the date of this filing, no shares of Series C convertible preferred stock have been issued.
−Removed: Form of Certificate of Determination of Preferences, Rights and Limitations of Series B Convertible Preferred Stock, dated March 3, 2017.
−Removed: Incorporated by reference to the Current Report on Form 8-K filed on March 9, 2017 as Exhibit 3.1 thereto.
Certificate of Incorporation, dated September 22, 2017.
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Incorporated herein by reference to the Current Report on Form 8-K filed on March 14, 2019 as Exhibit 3.1 thereto.
−Removed: Certificate of Elimination of the Series C convertible redeemable preferred stock of Ault Alliance, Inc.
−Removed: Incorporated herein by reference to the Current Report on Form 8-K filed on January 27, 2023 as Exhibit 3.1 thereto.
Certificate of Ownership and Merger.
Incorporated by reference to the Current Report on Form 8-K filed on January 19, 2021 as Exhibit 2.1 thereto.
−Removed: Amended and Restated Bylaws, effective as of November 2, 2021.
−Removed: Incorporated by reference to the Current Report on Form 8-K filed on November 3, 2021 as Exhibit 3.1 thereto.
Certificate of Ownership and Merger, as filed with the Secretary of State of the State of Delaware on December 1, 2021.
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Incorporated herein by reference to the Current Report on Form 8-K filed on August 18, 2023 as Exhibit 3.3 thereto.
−Removed: Certificate of Elimination of the Series C convertible preferred stock of Ault Alliance, Inc.
−Removed: Incorporated herein by reference to the Current Report on Form 8-K filed on October 12, 2023 as Exhibit 3.1 thereto.
−Removed: Certificate of Designation of Preferences, Rights and Limitations of Series C Cumulative Preferred Stock, filed November 15, 2023.
−Removed: Amendment to At-The-Market Issuance Sales Agreement, dated July 12, 2023, with Ascendiant Capital Markets, LLC.
−Removed: Incorporated by reference to the Current Report on Form 8-K filed on July 13, 2023 as Exhibit 10.1 thereto.
−Removed: Form of First Amendment and Joinder to Loan and Guarantee Agreement.
−Removed: Incorporated by reference to the Current Report on Form 8-K filed on July 20, 2023 as Exhibit 10.1 thereto.
−Removed: Form of Montana Security Agreement.
−Removed: Incorporated by reference to the Current Report on Form 8-K filed on July 20, 2023 as Exhibit 10.2 thereto.
−Removed: Form of the Circle 8 Pledge.
−Removed: Incorporated by reference to the Current Report on Form 8-K filed on July 20, 2023 as Exhibit 10.3 thereto.
−Removed: Form of the Florida Mortgage Amendment.
−Removed: Incorporated by reference to the Current Report on Form 8-K filed on July 20, 2023 as Exhibit 10.4 thereto.
−Removed: Form of the Michigan Mortgage Amendment.
−Removed: Incorporated by reference to the Current Report on Form 8-K filed on July 20, 2023 as Exhibit 10.5 thereto.
−Removed: Form of Exchange Agreement.
−Removed: Incorporated by reference to the Current Report on Form 8-K filed on August 3, 2023 as Exhibit 10.1 thereto.
−Removed: Form of Exchange Note.
−Removed: Incorporated by reference to the Current Report on Form 8-K filed on August 3, 2023 as Exhibit 4.1 thereto.
−Removed: Form of Amended and Restated Assignment.
−Removed: Incorporated by reference to the Current Report on Form 8-K/A filed on August 16, 2023 as Exhibit 10.2 thereto.
−Removed: Form of Guaranty.
−Removed: Incorporated by reference to the Current Report on Form 8-K filed on August 3, 2023 as Exhibit 10.3 thereto.
−Removed: Form of Investor Agreement.
−Removed: Incorporated by reference to the Current Report on Form 8-K filed on September 1, 2023 as Exhibit 10.1 thereto.
−Removed: Form of 7.00% Senior Note due 2024.
−Removed: Incorporated by reference to the Current Report on Form 8-K filed on September 1, 2023 as Exhibit 4.1 thereto.
−Removed: Form of 8.50% Senior Note due 2026.
−Removed: Incorporated by reference to the Current Report on Form 8-K filed on September 1, 2023 as Exhibit 4.2 thereto.
−Removed: Form of 10.50% Senior Note due 2028.
−Removed: Incorporated by reference to the Current Report on Form 8-K filed on September 1, 2023 as Exhibit 4.3 thereto.
−Removed: Amendment to At-The-Market Issuance Sales Agreement, dated September 7, 2023, with Ascendiant Capital Markets, LLC.
−Removed: Incorporated by reference to the Current Report on Form 8-K filed on September 8, 2023 as Exhibit 10.1 thereto.
−Removed: Form of Term Note.
−Removed: Incorporated by reference to the Current Report on Form 8-K filed on September 11, 2023 as Exhibit 4.1 thereto.
−Removed: Form of Guaranty.
−Removed: Incorporated by reference to the Current Report on Form 8-K filed on September 11, 2023 as Exhibit 10.1 thereto.
−Removed: Securities Exchange Agreement, dated September 27, 2023, by and between the Company and the Investor.
−Removed: Incorporated by reference to the Current Report on Form 8-K filed on September 28, 2023 as Exhibit 10.1 thereto.
−Removed: Form of Note.
−Removed: Incorporated by reference to the Current Report on Form 8-K filed on September 28, 2023 as Exhibit 4.1 thereto.
+Added: Certificate of Designation of Preferences, Rights and Limitations of Series C Cumulative Preferred Stock, dated November 15, 2023.
+Added: Incorporated herein by reference to the Current Report on Form 8-K filed on November 21, 2023 as Exhibit 3.1 thereto.
+Added: Certificate of Elimination of the Series B convertible redeemable preferred stock of Ault Alliance, Inc.
+Added: Incorporated herein by reference to the Current Report on Form 8-K filed on December 12, 2023 as Exhibit 3.1 thereto.
+Added: Certificate of Amendment to Certificate of Incorporation filed with the Delaware Secretary of State on January 12, 2024.
+Added: Incorporated by reference to the Current Report on Form 8-K filed on January 12, 2024 as Exhibit 3.2 thereto.
+Added: Second Amended and Restated Bylaws, effective as of January 11, 2024.
+Added: Incorporated by reference to the Current Report on Form 8-K filed on January 12, 2024 as Exhibit 3.1 thereto.
+Added: Certificate of Increase to Certificate Designations of Preferences, Rights and Limitations of Series C Convertible Preferred Stock.
+Added: Incorporated herein by reference to the Current Report on Form 8-K filed on April 4, 2024 as Exhibit 3.1 thereto.
+Added: Amendment to the Securities Purchase Agreement, Certificate of Designation and Series C Warrants, dated March 25, 2024.
+Added: Incorporated by reference to the Current Report on Form 8-K filed on March 26, 2024 as Exhibit 10.3 thereto.
Certification of Chief Executive Officer required by Rule 13a-14(a) or Rule 15d-14(a).
Certification of Chief Financial Officer required by Rule 13a-14(a) or Rule 15d-14(a).
−Removed: Certification of Chief Executive and Chief Financial Officer required by Rule 13a-14(b) or Rule 15d-14(b) and Section 1350 of Chapter 63 of Title 18 of the United States Code.
+Added: Certification of Chief Executive Officer and Chief Financial Officer required by Rule 13a-14(b) or Rule 15d-14(b) and Section 1350 of Chapter 63 of Title 18 of the United States Code.
Inline XBRL Instance Document.
−Removed: document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document.
−Removed: Inline XBRL Taxonomy Extension Schema
−Removed: Inline XBRL Taxonomy Extension Calculation
−Removed: Linkbase Document.
−Removed: Inline XBRL Taxonomy Extension Label
−Removed: Linkbase Document.
−Removed: Inline XBRL Taxonomy Extension Presentation
−Removed: Linkbase Document.
−Removed: Inline XBRL Taxonomy Extension Definition
−Removed: Linkbase Document.
−Removed: Cover Page Interactive Data File (formatted
−Removed: as Inline XBRL and contained in Exhibit 101).
−Removed: _______________________
+Added: The instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document.
+Added: Inline XBRL Taxonomy Extension Schema Document.
+Added: Inline XBRL Taxonomy Extension Calculation Linkbase Document.
+Added: Inline XBRL Taxonomy Extension Definition Linkbase Document.
+Added: Inline XBRL Taxonomy Extension Label Linkbase Document.
+Added: Inline XBRL Taxonomy Extension Presentation Linkbase Document.
+Added: Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101).
* Filed herewith.
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the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
−Removed: November 20, 2023
AULT ALLIANCE, INC.
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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.