Sec Form 4 Filing - SMITH ROBERT O @ Ault Global Holdings, Inc. - 2021-11-09

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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person SMITH ROBERT O 2. Issuer Name and Ticker or Trading Symbol Ault Global Holdings, Inc. [ DPW] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) X __ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below) (Last) (First) (Middle) 11411 SOUTHERN HIGHLANDS PARKWAY, SUITE 240 3. Date of Earliest Transaction (MM/DD/YY) 11/09/2021 (Street) LAS VEGAS, NV89141 4. If Amendment, Date Original Filed (MM/DD/YY) 6. Individual or Joint/Group Filing (Check Applicable Line) __ X __ Form filed by One Reporting Person _____ Form filed by More than One Reporting Person (City) (State) (Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) 2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) 6. Date Exercisable and Expiration Date (MM/DD/YY) 7. Title and Amount of Underlying Securities (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4) Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares Stock Options (Right to Buy) $ 2.19 11/09/2021 A 100,000 ( 1 ) 11/08/2031 Common Stock 100,000 $ 0 100,000 D Stock Options (Right to Buy) $ 1.79 ( 2 ) 09/16/2030 Common Stock 50,000 50,000 D Stock Options (Right to Buy) $ 2.55 ( 3 ) 01/07/2031 Common Stock 150,000 150,000 D

Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other SMITH ROBERT O 11411 SOUTHERN HIGHLANDS PARKWAY SUITE 240 LAS VEGAS, NV89141 X Signatures /s/ Robert O. Smith 11/12/2021 Signature of Reporting Person Date

Explanation of Responses:

( 1 )On November 9, 2021, the Board of Directors of the Issuer granted stock options to Mr. Smith to purchase 100,000 shares of the Issuer's common stock, which options shall vest in equal monthly increments commencing on January 1, 2023 and ending on December 1, 2024. The stock options, which were issued outside of any Issuer stock incentive plan, will be exercisable upon vesting, subject to receipt of approval of the option grants by the NYSE American and the Issuer's stockholders. ( 2 )Mr. Smith was granted stock options to purchase 50,000 shares of the Issuer's common stock, which options vest in equal monthly increments over one (1) year commencing on September 17, 2020. ( 3 )Mr. Smith was granted stock options to purchase 150,000 shares of the Issuer's common stock, which options shall vest in monthly increments commencing on January 1, 2022 and ending on December 1, 2023.

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).

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