# EDGAR Filing Document

**Accession Number:** 0001677077
**File Stem:** 0001214659-23-004021
**Filing Date:** 2023-3
**Character Count:** 7295
**Document Hash:** 6008239cbce43f782de16c1b1ea4533c
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001214659-23-004021.hdr.sgml**: 20230320

**ACCESSION NUMBER**: 0001214659-23-004021

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230316

**FILED AS OF DATE**: 20230320

**DATE AS OF CHANGE**: 20230320

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** AULT MILTON C III
- **CENTRAL INDEX KEY:** 0001212502
- **STATE OF INCORPORATION:** DE

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40483
- **FILM NUMBER:** 23746693

**MAIL ADDRESS:**
- **STREET 1:** 11411 SOUTHERN HIGHLANDS PARKWAY
- **STREET 2:** SUITE 240
- **CITY:** LAS VEGAS
- **STATE:** NV
- **ZIP:** 89141
**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>AULT MILTON C III<br><sub>(Last) (First) (Middle)</sub><br>11411 SOUTHERN HIGHLANDS PARKWAY<br>SUITE 240<br><sub>(Street)</sub><br>LAS VEGAS, NV 89141<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-16 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 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 | 2023-03-16 |  | P |  | 4000 | A | 0.5014<sup>(1)</sup> | 11055001 | I | By Ault Lending, LLC<sup>(2)</sup> |
| Common Stock | 2023-03-17 |  | P |  | 5000 | A | $0.4298 | 11060001 | I | By Ault Lending, LLC<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 2500000 | D |  |
| Common Stock |  |  |  |  |  |  |  | 365000 | I | By Ault Alpha LP<sup>(3)</sup> |
| Common Stock |  |  |  |  |  |  |  | 14942984 | I | By Ault Life Sciences, Inc.<sup>(4)</sup> |
| Common Stock |  |  |  |  |  |  |  | 10000000 | I | By Ault Life Sciences Fund, LLC<sup>(5)</sup> |

---

## 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 |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) 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 $0.5014. The range of purchase prices on the transaction date was $0.5014 to $0.5015 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.

(2) Ault Lending, LLC ("Ault Lending"), is a wholly-owned subsidiary of Ault Alliance, Inc. ("AA"). Mr. Ault, the Executive Chairman of AA, is deemed to have voting and investment power with respect to the securities held of record by Ault Lending.

(3) 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, respectively. As such, Mr. Ault is deemed to beneficially own the shares held by Ault Alpha LP.

(4) Mr. Ault has sole voting and investment power with respect to the securities held of record by Ault Life Sciences, Inc.

(5) Mr. Ault has sole voting and investment power with respect to the securities held of record by Ault Life Sciences Fund, LLC.

**Signature:** /s/ Milton C. Ault, III  
**Date:** 2023-03-20

### 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.**