A.L. Sarroff Fund expands PetVivo Holdings (PETV) stake with 2024 buys

Rhea-AI Filing Summary

A.L. Sarroff Fund, LLC, a more than 10% owner of PetVivo Holdings, Inc. (PETV), filed a Form 4 detailing extensive insider activity in 2024. The fund reported multiple open-market purchases of PetVivo common stock between April 5 and October 15, 2024 at prices ranging from $0.40 to $1.06 per share, along with several warrant-related transactions, including exercises and new warrant purchases.

These transactions included warrant exercises that delivered shares, such as 770,767 common shares on September 26, 2024, and warrant acquisitions in February, April, May, June, and July 2024. Following the most recent trade on October 15, 2024, the fund directly beneficially owned 6,610,930 shares of PetVivo common stock, with additional common stock and warrants reported as indirectly owned, including securities held by the spouse of Alan L. Sarroff. Alan L. Sarroff is the chief executive officer and managing member of the fund and is deemed to beneficially own and have sole voting and dispositive power over its securities.

SEC Form 4

FORM 4

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
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

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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^*

A.L. Sarroff Fund, LLC

(Last) (First) (Middle)

43 MEADOW WOODS ROAD

(Street)

GREAT NECK NY 11020

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
PetVivo Holdings, Inc. [ PETV ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	X	10% Owner
	Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
04/05/2024

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	04/05/2024		P		100	A	$1.06	1,859,463	D(1)
Common Stock	04/09/2024		P		418,310	A	$0.72	2,277,773	D(1)
Common Stock	04/29/2024		C		430,798	A	$0.7	2,708,571	D(1)
Common Stock	05/15/2024		P		142,858	A	$0.7	2,851,429	D(1)
Common Stock	06/20/2024		P		70	A	$0.56	2,851,499	D(1)
Common Stock	07/09/2024		C		1,250,000	A	$0.4	4,101,499	D(1)
Common Stock	07/09/2024		C		1,250,000	A	$0.4	5,351,499	I	FN(2)
Common Stock	09/09/2024		C		331,644	A	$0.45	5,683,143	D(1)
Common Stock	09/12/2024		P		60,116	A	$0.55	5,743,259	D(1)
Common Stock	09/13/2024		P		16,030	A	$0.53	5,759,289	D(1)
Common Stock	09/17/2024		P		9,498	A	$0.54	5,768,787	D(1)
Common Stock	09/18/2024		P		3,000	A	$0.54	5,771,787	D(1)
Common Stock	09/19/2024		P		5,000	A	$0.54	5,776,787	D(1)
Common Stock	09/20/2024		P		4,301	A	$0.53	5,781,088	D(1)
Common Stock	09/23/2024		P		4,800	A	$0.52	5,785,888	D(1)
Common Stock	09/24/2024		P		2,000	A	$0.5	5,787,888	D(1)
Common Stock	09/26/2024		C		770,767	A	$0.45	6,558,655	D(1)
Common Stock	09/26/2024		P		4,000	A	$0.46	6,562,655	D(1)
Common Stock	10/02/2024		P		21	A	$0.42	6,562,676	D(1)
Common Stock	10/03/2024		P		3,000	A	$0.47	6,565,676	D(1)
Common Stock	10/04/2024		P		11,073	A	$0.48	6,576,749	D(1)
Common Stock	10/07/2024		P		15,400	A	$0.52	6,592,149	D(1)
Common Stock	10/07/2024		P		1,000	A	$0.55	6,593,149	D(1)
Common Stock	10/08/2024		P		3,581	A	$0.58	6,596,730	D(1)
Common Stock	10/09/2024		P		1,300	A	$0.6	6,598,030	D(1)
Common Stock	10/10/2024		P		600	A	$0.6	6,598,630	D(1)
Common Stock	10/11/2024		P		11,500	A	$0.56	6,610,130	D(1)
Common Stock	10/11/2024		P		300	A	$0.56	6,610,430	D(1)
Common Stock	10/15/2024		P		500	A	$0.57	6,610,930	D(1)

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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Warrant (Right to Buy)	$0.9	02/13/2024		P		150,000		02/13/2024	02/13/2027	Common Stock	150,000	$0.9	150,000	I	FN(2)
Warrant (Right to Buy)	$1.5	04/09/2024		P		428,572		04/09/2024	04/09/2027	Common Stock	428,572	$1.5	428,572	D(1)
Warrant (Right to Buy)	$1.5	04/29/2024		P		430,798		04/29/2024	04/29/2027	Common Stock	430,798	$1.5	430,798	D(1)
Warrant (Right to Buy)	$1.5	05/15/2024		P		142,858		05/15/2024	05/15/2027	Common Stock	142,858	$1.5	142,858	D(1)
Warrant (Right to Buy)	$0.75	06/10/2024		P		75,000		06/10/2024	06/10/2027	Common Stock	75,000	$0.75	75,000	D(1)
Warrant (Right to Buy)	$0.9	07/09/2024		P		1,250,000		07/09/2024	07/09/2027	Common Stock	1,250,000	$0.9	1,250,000	D(1)
Warrant (Right to Buy)	$0.9	07/09/2024		P		1,250,000		07/09/2024	07/09/2027	Common Stock	1,250,000	$0.9	1,250,000	I	FN(2)

Explanation of Responses:

1. Alan L. Sarroff is the Chief Executive Officer and Managing Member of A.L. Sarroff Fund, LLC and is deemed to beneficially own and have sole voting and dispositive powers over its securities.

2. Held by Mr. Sarnoff's spouse, Eileen Sarroff.

	/s/ A.L. Sarroff Fund, LLC, By: Alan L. Sarroff, Chief Executive Officer and Managing Member	01/16/2026
	** Signature of Reporting Person	Date
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.
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FAQ

What insider activity did A.L. Sarroff Fund, LLC report for PETV?

A.L. Sarroff Fund, LLC reported a series of open-market purchases of PetVivo Holdings common stock and multiple warrant-related transactions during 2024. The activity includes stock buys between April 5 and October 15, 2024 and acquisitions and exercises of warrants that are exercisable into PetVivo common shares.

How many PetVivo (PETV) shares does A.L. Sarroff Fund hold after these Form 4 transactions?

After the latest reported transaction on October 15, 2024, A.L. Sarroff Fund, LLC directly beneficially owned 6,610,930 shares of PetVivo Holdings common stock, as disclosed in the Form 4 filing.

At what prices did A.L. Sarroff Fund buy PetVivo (PETV) common stock in 2024?

The Form 4 shows PetVivo common stock purchases at prices ranging from $0.40 to $1.06 per share. Examples include buys at $1.06 on April 5, $0.72 on April 9, $0.70 on April 29 and May 15, and multiple trades between $0.42 and $0.60 per share in September and October 2024.

What warrant transactions related to PetVivo (PETV) did A.L. Sarroff Fund report?

The filing lists several warrants (rights to buy common stock) acquired in 2024, including 150,000 warrants at an exercise price of $0.90 on February 13, 428,572 warrants at $1.50 on April 9, 430,798 warrants at $1.50 on April 29, 142,858 warrants at $1.50 on May 15, 75,000 warrants at $0.75 on June 10, and 1,250,000 warrants at $0.90 on July 9, 2024, some held directly and some indirectly.

Who is Alan L. Sarroff in relation to A.L. Sarroff Fund and PetVivo (PETV)?

According to the Form 4, Alan L. Sarroff is the Chief Executive Officer and Managing Member of A.L. Sarroff Fund, LLC. He is deemed to beneficially own and have sole voting and dispositive power over the securities held by the fund.

What PetVivo (PETV) holdings are reported as indirectly owned in this Form 4?

The Form 4 shows certain common stock and warrants reported with indirect ownership, noted with a footnote that some securities are held by Mr. Sarroff's spouse, Eileen Sarroff. These include, among others, 1,250,000 common shares and 1,250,000 warrants dated July 9, 2024 that are reported as indirectly owned.