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AmpliTech Group (AMPG) director exercises 1,000 Series A rights

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

AmpliTech Group director Daniel Richard Mazziota exercised 1,000 Series A Rights at $5.00 each on July 22, 2026, acquiring 1,000 shares of Common Stock and bringing his direct holdings to 238,743 shares.

The Series A Rights were received on January 14, 2026 in a units rights offering, and any unexercised rights expired on July 18, 2026; shares from this exercise are exempt from reporting under Rule 16b-3.

Positive

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Negative

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Insider Mazziota Daniel Richard
Role Director
Type Security Shares Price Value
Exercise Series A Rights F1, F2 1,000 -- --
Exercise Common Stock F1 1,000 $5.00 $5K
Holdings After Transaction: Series A Rights — 0 shares (Direct); Common Stock — 238,743 shares (Direct)
Footnotes (2)
  1. F1. On January 14, 2026, the Reporting Person acquired the Series A Rights in connection with the exercise of unit subscription rights issued to the Reporting Person and other stockholders and eligible warrantholders on a pro rata basis in the Issuer's Units Rights Offering..The closing for the Series A Rights occurred on July 22, 2026. The shares acquired upon exercise of the Series A Rights are exempt from reporting under Rule 16b-3.
  2. F2. By the terms of the Series A Rights, any unexercised Series A Rights expired on July 18, 2026.
Series A rights exercised 1,000 Series A Rights converted into Common Stock on July 22, 2026
Exercise price $5.0000 per share Conversion or exercise price of Series A Rights
Common shares acquired 1,000 Common Stock received upon exercise of Series A Rights
Common shares owned after 238,743 Direct AmpliTech Common Stock holdings following the transaction
Rights expiration date July 18, 2026 Any unexercised Series A Rights expired on this date
Series A Rights acquisition date January 14, 2026 Series A Rights acquired in connection with a Units Rights Offering
Series A Rights financial
"Reporting Person acquired the Series A Rights in connection"
Series A rights are the specific protections and privileges attached to the first round of preferred shares sold to early investors, such as priority on company payouts, special voting influence, and the ability to keep their ownership percentage in later financing rounds. Think of them like a VIP ticket that gives holders safer exit priority and stronger say in company decisions, which matters to investors because those rights reduce risk and preserve value.
Units Rights Offering financial
"issued to the Reporting Person and other stockholders in the Issuer's Units Rights Offering"
Rule 16b-3 regulatory
"shares acquired upon exercise of the Series A Rights are exempt from reporting under Rule 16b-3"
Rule 16b-3 is a Securities and Exchange Commission regulation that exempts certain routine, pre-approved transactions by company insiders from automatic liability for short-term trading profits. It acts like a safe harbor: if an insider follows a formal plan or the board approves specific transactions in advance, profits from buying and selling company stock within six months are not automatically reclaimed. Investors care because the rule clarifies when insider trades are permissible and reduces uncertainty about potential clawbacks.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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FAQ

What insider transaction did AMPG director Daniel Richard Mazziota report?
Daniel Richard Mazziota reported exercising 1,000 Series A Rights on July 22, 2026, receiving 1,000 AmpliTech Group Common Stock shares. The derivative rights position dropped to zero, and his direct Common Stock ownership increased to 238,743 shares following the transaction.

How many AMPG Series A Rights were exercised and into how many shares?
Mazziota exercised 1,000 Series A Rights, converting them into 1,000 shares of AmpliTech Group Common Stock. The transaction fully used the reported rights position, leaving 0 Series A Rights outstanding after this exercise on July 22, 2026.

What was the exercise price for Daniel Mazziota’s AMPG Series A Rights?
The Series A Rights carried an exercise or conversion price of $5.00 per share. Exercising 1,000 rights at this price on July 22, 2026 yielded 1,000 Common Stock shares for Mazziota under the Units Rights Offering terms.

How many AMPG Common Stock shares does Mazziota own after this Form 4?
After exercising the rights, Mazziota directly owns 238,743 AmpliTech Group Common Stock shares. This total reflects the addition of 1,000 shares acquired through exercising Series A Rights on July 22, 2026, as reported in the Form 4.

What is the origin and expiration of the AMPG Series A Rights reported?
Mazziota acquired the Series A Rights on January 14, 2026 via a pro rata Units Rights Offering. Under their terms, any unexercised Series A Rights expired on July 18, 2026, shortly before the July 22, 2026 closing of the exercised rights.

Are Mazziota’s AMPG rights exercise shares exempt under Rule 16b-3?
Yes. The footnote states that shares acquired upon exercise of the Series A Rights are exempt from reporting under Rule 16b-3. This exemption applies specifically to the Common Stock received through exercising the Series A Rights described in this Form 4.
SEC Form 4
FORM 4UNITED 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
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
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*
Mazziota Daniel Richard
(Last)(First)(Middle)
C/O AMPLITECH GROUP, INC
155 PLANT AVENUE
(Street)
HAUPPAUGE NEW YORK 11788
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
AmpliTech Group, Inc. [ AMPG ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
07/22/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)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)
CodeVAmount(A) or (D)Price
Common Stock(1)07/22/2026M(1)1,000A$5238,743D
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 (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)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 (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Series A Rights(1)$507/22/2026(1)M1,00001/14/202607/18/2026Common Stock1,000(1)0(2)D
Explanation of Responses:
1. On January 14, 2026, the Reporting Person acquired the Series A Rights in connection with the exercise of unit subscription rights issued to the Reporting Person and other stockholders and eligible warrantholders on a pro rata basis in the Issuer's Units Rights Offering..The closing for the Series A Rights occurred on July 22, 2026. The shares acquired upon exercise of the Series A Rights are exempt from reporting under Rule 16b-3.
2. By the terms of the Series A Rights, any unexercised Series A Rights expired on July 18, 2026.
/s/Daniel Mazziota07/23/2026
** Signature of Reporting PersonDate
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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR