# EDGAR Filing Document

**Accession Number:** 0001677077
**File Stem:** 0001214659-23-003255
**Filing Date:** 2023-2
**Character Count:** 6625
**Document Hash:** e9ee4883107910ed0740b5e6446010e4
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001214659-23-003255.hdr.sgml**: 20230228

**ACCESSION NUMBER**: 0001214659-23-003255

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230224

**FILED AS OF DATE**: 20230228

**DATE AS OF CHANGE**: 20230228

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Horne William B.
- **CENTRAL INDEX KEY:** 0001333268

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40483
- **FILM NUMBER:** 23686003

**MAIL ADDRESS:**
- **STREET 1:** C/O AULT ALLIANCE, INC.
- **STREET 2:** 940 SOUTH COAST DRIVE, SUITE 200
- **CITY:** COSTA MESA
- **STATE:** CA
- **ZIP:** 92626

**FORMER NAME:**
- **FORMER CONFORMED NAME:** Horne William E
- **DATE OF NAME CHANGE:** 20190531

**FORMER NAME:**
- **FORMER CONFORMED NAME:** Horne William B
- **DATE OF NAME CHANGE:** 20190524

**FORMER NAME:**
- **FORMER CONFORMED NAME:** Horne William E
- **DATE OF NAME CHANGE:** 20190524
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Alzamend Neuro, Inc.
- **CENTRAL INDEX KEY:** 0001677077
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 811822909
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 0430

**BUSINESS ADDRESS:**
- **STREET 1:** 3500 LENOX RD. NE
- **STREET 2:** SUITE 1500
- **CITY:** ATLANTA
- **STATE:** GA
- **ZIP:** 30326
- **BUSINESS PHONE:** 844-722-6333

**MAIL ADDRESS:**
- **STREET 1:** 3500 LENOX RD. NE
- **STREET 2:** SUITE 1500
- **CITY:** ATLANTA
- **STATE:** GA
- **ZIP:** 30326

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Horne William B.<br><sub>(Last) (First) (Middle)</sub><br>3480 PEACHTREE ROAD NE<br>SECOND FLOOR, SUITE 103<br><sub>(Street)</sub><br>ATLANTA, GA 30326<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-24 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Alzamend Neuro, Inc. [ ALZN ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-02-24 |  | M<sup>(1)</sup> |  | 500000 | A | $0.004 | 1000000 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Stock Options (Right to Buy) | $0.004 | 2023-02-24 |  | M |  |  | 500000 | <sup>(2)</sup> | 2026-04-29 | Common Stock | 500000 | $0 | 1500000 | D |  |
| Stock Options (Right to Buy) | $1.50 |  |  |  |  |  |  | <sup>(3)</sup> | 2029-11-25 | Common Stock | 250000 |  | 250000 | D |  |
| Stock Options (Right to Buy) | $1.50 |  |  |  |  |  |  | <sup>(4)</sup> | 2029-11-17 | Common Stock | 250000 |  | 250000 | D |  |

---

### Footnotes:

(1) This transaction was effected pursuant to Rule 16b-3 with shares of common stock received upon the exercise of stock options.

(2) The stock options exercised in this transaction were fully vested and exercisable as of the transaction date.

(3) The stock options vest ratably over thirty-six (36) months beginning on the date of grant, and are fully vested.

(4) None of these performance-based stock options are vested or exercisable.

**Signature:** /s/ William B. Horne  
**Date:** 2023-02-28

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**