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  4. [Form 4] PetVivo Holdings, Inc. Insider Trading Activity

Insider fund boosts PetVivo Holdings, Inc. (PETV) stake with Q4 buys

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

Rhea-AI Filing Summary

A.L. Sarroff Fund, LLC, a 10% owner of PetVivo Holdings, Inc., reported a series of acquisitions of PetVivo common stock between October 18 and December 31, 2024. The transactions include numerous open-market purchases coded "P" at prices generally between $0.46 and $0.57 per share, as well as several entries coded "C" at $0.46 per share. After the final reported purchase of 16,001 shares at $0.57 on December 31, 2024, the fund held 7,740,579 shares of PetVivo common stock in direct ownership.

According to a footnote, 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 power over the fund’s securities.

Positive

  • None.

Negative

  • None.
Insider A.L. Sarroff Fund, LLC
Role 10% Owner
Bought 154,840 shs ($78K)
Type Security Shares Price Value
Purchase Common Stock 16,001 $0.57 $9K
Conversion Common Stock 215,014 $0.47 $101K
Purchase Common Stock 1,000 $0.55 $550.00
Purchase Common Stock 1,900 $0.56 $1K
Conversion Common Stock 107,890 $0.46 $50K
Conversion Common Stock 162,000 $0.46 $75K
Purchase Common Stock 500 $0.48 $240.00
Purchase Common Stock 20,000 $0.47 $9K
Purchase Common Stock 10,000 $0.50 $5K
Conversion Common Stock 162,699 $0.46 $75K
Purchase Common Stock 15,001 $0.49 $7K
Purchase Common Stock 6,000 $0.47 $3K
Purchase Common Stock 2,000 $0.53 $1K
Purchase Common Stock 5,624 $0.50 $3K
Purchase Common Stock 1,500 $0.53 $795.00
Conversion Common Stock 108,795 $0.46 $50K
Purchase Common Stock 1,998 $0.47 $939.06
Purchase Common Stock 500 $0.56 $280.00
Purchase Common Stock 1,000 $0.56 $560.00
Purchase Common Stock 1,000 $0.52 $520.00
Purchase Common Stock 2,000 $0.56 $1K
Purchase Common Stock 15,000 $0.48 $7K
Conversion Common Stock 218,411 $0.46 $100K
Purchase Common Stock 2,000 $0.54 $1K
Purchase Common Stock 1,000 $0.53 $530.00
Purchase Common Stock 1,565 $0.50 $782.50
Purchase Common Stock 5,000 $0.50 $3K
Purchase Common Stock 30,000 $0.50 $15K
Purchase Common Stock 6,750 $0.50 $3K
Purchase Common Stock 7,501 $0.52 $4K
Holdings After Transaction: Common Stock — 7,740,579 shares (Direct)
Footnotes (1)
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Form 4 Insider Transactions: What Each Field Means →
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
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*
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)
10/18/2024
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 10/18/2024 P 7,501 A $0.52 6,618,431 D(1)
Common Stock 10/22/2024 P 6,750 A $0.5 6,625,181 D(1)
Common Stock 10/23/2024 P 30,000 A $0.5 6,655,181 D(1)
Common Stock 10/24/2024 P 5,000 A $0.5 6,660,181 D(1)
Common Stock 10/25/2024 P 1,565 A $0.5 6,661,746 D(1)
Common Stock 10/28/2024 P 1,000 A $0.53 6,662,746 D(1)
Common Stock 10/29/2024 C 218,411 A $0.46 6,881,157 D(1)
Common Stock 10/29/2024 P 2,000 A $0.54 6,883,157 D(1)
Common Stock 10/30/2024 P 15,000 A $0.48 6,898,157 D(1)
Common Stock 11/01/2024 P 2,000 A $0.56 6,900,157 D(1)
Common Stock 11/05/2024 P 1,000 A $0.52 6,901,157 D(1)
Common Stock 11/06/2024 P 1,000 A $0.56 6,902,157 D(1)
Common Stock 11/07/2024 P 500 A $0.56 6,902,657 D(1)
Common Stock 11/12/2024 P 1,998 A $0.47 6,904,655 D(1)
Common Stock 11/13/2024 C 108,795 A $0.46 7,013,450 D(1)
Common Stock 11/15/2024 P 1,500 A $0.53 7,014,950 D(1)
Common Stock 11/18/2024 P 5,624 A $0.5 7,020,574 D(1)
Common Stock 11/19/2024 P 2,000 A $0.53 7,022,574 D(1)
Common Stock 11/22/2024 P 6,000 A $0.47 7,028,574 D(1)
Common Stock 11/25/2024 C 162,699 A $0.46 7,191,273 D(1)
Common Stock 11/25/2024 P 15,001 A $0.49 7,206,274 D(1)
Common Stock 11/26/2024 P 10,000 A $0.5 7,216,274 D(1)
Common Stock 11/27/2024 P 20,000 A $0.47 7,236,274 D(1)
Common Stock 11/29/2024 P 500 A $0.48 7,236,774 D(1)
Common Stock 12/12/2024 C 162,000 A $0.46 7,398,774 D(1)
Common Stock 12/16/2024 C 107,890 A $0.46 7,506,664 D(1)
Common Stock 12/26/2024 P 1,900 A $0.56 7,508,564 D(1)
Common Stock 12/27/2024 P 1,000 A $0.55 7,509,564 D(1)
Common Stock 12/30/2024 C 215,014 A $0.47 7,724,578 D(1)
Common Stock 12/31/2024 P 16,001 A $0.57 7,740,579 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
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.
/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.
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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider activity did PetVivo Holdings (PETV) disclose in this Form 4?

The Form 4 reports that A.L. Sarroff Fund, LLC, a 10% owner of PetVivo Holdings, Inc., acquired additional shares of PetVivo common stock through multiple transactions between October 18 and December 31, 2024.

Who is the reporting person in the PetVivo (PETV) Form 4 filing?

The reporting person is A.L. Sarroff Fund, LLC, identified as a 10% owner of PetVivo Holdings, Inc. A footnote explains that Alan L. Sarroff is the fund’s Chief Executive Officer and Managing Member and is deemed to beneficially own and control its securities.

How many PetVivo (PETV) shares did the reporting person own after the latest transaction?

Following the final reported transaction on December 31, 2024, A.L. Sarroff Fund, LLC beneficially owned 7,740,579 shares of PetVivo common stock in direct ownership.

Over what period did A.L. Sarroff Fund, LLC buy PetVivo (PETV) shares?

The reported acquisitions span from October 18, 2024 through December 31, 2024, with numerous purchases and several transactions coded "C" during that timeframe.

At what prices were the PetVivo (PETV) insider transactions executed?

The common stock transactions show prices generally ranging from $0.46 to $0.57 per share, including purchases coded "P" and transactions coded "C" at $0.46 per share.

Are there any derivative securities reported for PetVivo (PETV) in this Form 4?

Table II for derivative securities is present but does not list any specific derivative transactions or holdings; the detailed activity disclosed relates to non-derivative common stock.

What is Alan L. Sarroff’s role in relation to the PetVivo (PETV) shares?

A footnote states that 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 the fund’s PetVivo securities.