Alpha Modus CEO files Form 4 on Series C Preferred; 3.87M held

Rhea-AI Filing Summary

Alpha Modus Holdings (AMOD) filed a Form 4 for CEO William R. Alessi Jr., who is also a director and 10% owner, reporting a derivative transaction on 10/30/2025 involving Series C Preferred Stock (transaction code G).

Following the reported activity, 3,870,000 derivative securities were beneficially owned on an indirect basis by The Alessi 2023 Irrevocable Trust.

Per the footnotes, the Series C Preferred Stock is not convertible until 18 months following December 2024, subject to a Trigger Event. The Conversion Price generally equals the lesser of $10.00 or, if no Trigger Event, 100% of the average of the 5 lowest closing bid prices during the 10-day Measurement Period, capped at the lowest sales price on the last day; following any Trigger Event, it is 50.0% of that average, similarly capped. Another footnote notes shares were sold to Chris Chumas and his Roth IRA by the family trust for par value.

Insider Trade Summary

430,000 shares gifted

Mixed 1 txn

Insider Alessi William Rosario Jr

Role Chief Executive Officer

Type	Security	Shares	Price	Value
Gift	Series C Preferred Stock	430,000	$0.00	--

Holdings After Transaction: Series C Preferred Stock — 3,870,000 shares (Indirect, By The Alessi 2023 Irrevocable Trust)

Footnotes (1)

1. Shares of Series C Preferred Stock are not convertible until 18 months following December 18, 2024, so long as a Trigger Event (as defined in the Second A&R Certificate of Incorporation of the issuer) has not occurred. Beginning 18 months following December 13, 2024, or following the occurrence of a Trigger Event, shares of Series C Preferred Stock are convertible at the Conversion Price. "Conversion Price" generally means a price per share equal to the lesser of either $10.00, or if no Trigger Event has occurred, 100% of the average of the 5 lowest closing bid prices of the common stock during the 10 days preceding conversion (the "Measurement Period"), not to exceed 100% of the lowest sales price on the last day of the Measurement Period, or following any Trigger Event, 50.0% of the average of the lowest closing bid prices of the common stock during the Measurement Period, not to exceed 50.0% of the lowest sales price on the last day of the Measurement Period. Shares sold to Chris Chumas (the Chief Sales Officer of the issuer) and his Roth IRA by the family trust of William Alessi (the CEO of the issuer) for nominal consideration (par value).

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
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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^*

Alessi William Rosario Jr

(Last) (First) (Middle)

20311 CHARTWELL CENTER DR. STE. 1469

(Street)

CORNELIUS NC 28031

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
ALPHA MODUS HOLDINGS, INC. [ AMOD ]

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

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

3. Date of Earliest Transaction (Month/Day/Year)
10/30/2025

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

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
Series C Preferred Stock(1)	(1)	10/30/2025		G			430,000	(1)	(1)	Class A Common Stock	(1)	(2)	3,870,000	I	By The Alessi 2023 Irrevocable Trust

Explanation of Responses:

1. Shares of Series C Preferred Stock are not convertible until 18 months following December 18, 2024, so long as a Trigger Event (as defined in the Second A&R Certificate of Incorporation of the issuer) has not occurred. Beginning 18 months following December 13, 2024, or following the occurrence of a Trigger Event, shares of Series C Preferred Stock are convertible at the Conversion Price. "Conversion Price" generally means a price per share equal to the lesser of either $10.00, or if no Trigger Event has occurred, 100% of the average of the 5 lowest closing bid prices of the common stock during the 10 days preceding conversion (the "Measurement Period"), not to exceed 100% of the lowest sales price on the last day of the Measurement Period, or following any Trigger Event, 50.0% of the average of the lowest closing bid prices of the common stock during the Measurement Period, not to exceed 50.0% of the lowest sales price on the last day of the Measurement Period.

2. Shares sold to Chris Chumas (the Chief Sales Officer of the issuer) and his Roth IRA by the family trust of William Alessi (the CEO of the issuer) for nominal consideration (par value).

	/s/ William R. Alessi Jr.	10/31/2025
	** 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 did AMOD disclose in this Form 4?

William R. Alessi Jr. reported a derivative transaction (code G) involving Series C Preferred Stock on 10/30/2025.

How many derivative securities are beneficially owned after the transaction?

The filing lists 3,870,000 derivative securities beneficially owned indirectly by The Alessi 2023 Irrevocable Trust.

What are the conversion terms for AMOD's Series C Preferred Stock?

Not convertible until 18 months following December 2024, with a Conversion Price formula including a $10.00 cap or 50.0% pricing after a Trigger Event.

Who received shares according to the footnotes?

Shares were sold to Chris Chumas (Chief Sales Officer) and his Roth IRA by the family trust for par value.

What is the ownership form of the reported holdings?

The holdings are listed as Indirect (I), through The Alessi 2023 Irrevocable Trust.

What roles does the reporting person hold at AMOD?

He is Chief Executive Officer, a Director, and a 10% Owner.