Home/Filings/5/0001079973-24-000149

5//SEC Filing

Graham Gary John 5

Accession 0001079973-24-000149

CIK 0001425627other

View on SEC.gov Company Profile

Filed

Jan 29, 7:00 PM ET

Accepted

Jan 30, 10:07 AM ET

Size

69.7 KB

Accession

0001079973-24-000149

Insider Transaction Report

Form 5

Period: 2023-12-31

SOBR Safe, Inc.SOBR

Graham Gary John

Director10% Owner

Transactions

Other
Common Stock
2020-09-23−1,025,829→ 11,322,575 total(indirect: By LLC)
Conversion
Common Stock
2020-12-15$1.00/sh+2,743,169$2,743,169→ 11,322,675 total(indirect: By LLC)
Conversion
Common Stock
2020-12-31+3,103,028→ 11,322,575 total
Other
Common Stock
2020-09-23−1,025,829→ 11,322,575 total
Conversion
Common Stock
2020-12-15$1.00/sh+2,743,169$2,743,169→ 2,743,169 total
Other
Common Stock
2022-03-01−2,000,000→ 2,711,923 total(indirect: By LLC)
Other
Common Stock
2022-06-30−888,750→ 25,639 total
Conversion
Series A-1 Preferred Stock
2020-12-15$1.00/sh−2,743,169$2,743,169→ 0 total(indirect: By LLC)
Exercise: $1.00From: 2019-12-12→ Common Stock (2,743,169 underlying)
Exercise of In-Money
Convertible Note
2020-12-31−3,103,028→ 0 total
Exercise: $0.50From: 2020-06-05→ Common Stock (3,103,028 underlying)
Other
Series B Preferred Stock
2022-03-01+2,000,000→ 2,000,000 total(indirect: By LLC)
Exercise: $1.84From: 2022-09-01→ Common Stock (2,000,000 underlying)
Conversion
Common Stock
2020-12-31+3,103,028→ 11,322,575 total(indirect: By LLC)
Exercise of In-Money
Common Stock
2022-01-20$0.50/sh+176,938$88,469→ 2,711,923 total
Conversion
Common Stock
2023-06-12+666,667→ 2,542,616 total(indirect: By LLC)
Conversion
Common Stock
2023-06-12+666,667→ 2,542,616 total
Exercise of In-Money
Convertible Note
2020-12-31−3,103,028→ 0 total(indirect: By LLC)
Exercise: $0.50From: 2020-06-05→ Common Stock (3,103,028 underlying)
Exercise of In-Money
Warrant
2022-01-20−176,938→ 143,062 total
Exercise: $0.50From: 2020-06-05Exp: 2025-06-04→ Common Stock (320,000 underlying)
Other
Common Stock
2020-12-30−3,128,896→ 11,322,575 total(indirect: By LLC)
Other
Common Stock
2020-12-30−3,128,896→ 11,322,575 total
Exercise of In-Money
Common Stock
2022-01-20$0.50/sh+176,938$88,469→ 2,711,923 total(indirect: By LLC)
Other
Series B Preferred Stock
2022-03-01+2,000,000→ 2,000,000 total
Exercise: $1.84From: 2022-09-01→ Common Stock (2,000,000 underlying)
Exercise of In-Money
Warrant
2022-01-20−176,938→ 143,062 total(indirect: By LLC)
Exercise: $0.50From: 2020-06-05Exp: 2025-06-04→ Common Stock (320,000 underlying)
Conversion
Series B Preferred Stock
2023-04-30−666,667→ 0 total
Exercise: $1.84From: 2022-09-01→ Common Stock (666,667 underlying)
Other
Common Stock
2022-03-01−2,000,000→ 2,711,923 total
Other
Common Stock
2022-06-30−888,750→ 2,711,923 total(indirect: By LLC)
Conversion
Series A-1 Preferred Stock
2020-12-15$1.00/sh−2,743,169$2,743,169→ 0 total
Exercise: $1.00From: 2019-12-12→ Common Stock (2,743,169 underlying)
Conversion
Series B Preferred Stock
2023-04-30−666,667→ 0 total(indirect: By LLC)
Exercise: $1.84From: 2022-09-01→ Common Stock (666,667 underlying)

Holdings

Warrant
(indirect: By LLC)
Exercise: $0.50From: 2020-06-05Exp: 2025-06-04→ Common Stock (320,000 underlying)
320,000
Convertible Note
(indirect: By LLC)
Exercise: $0.50From: 2020-06-05→ Common Stock (3,103,028 underlying)
3,103,028
Convertible Note
Exercise: $0.50From: 2020-06-05→ Common Stock (3,103,028 underlying)
3,103,028
Warrant
Exercise: $0.50From: 2020-06-05Exp: 2025-06-04→ Common Stock (320,000 underlying)
320,000
Series A-1 Preferred Stock
Exercise: $1.00From: 2019-12-12→ Common Stock (2,700,000 underlying)
2,700,000
Common Stock
11,322,575
Series A-1 Preferred Stock
(indirect: By LLC)
Exercise: $1.00From: 2019-12-12→ Common Stock (2,700,000 underlying)
2,700,000

IDTEC, LLC

10% Owner

Transactions

Exercise of In-Money
Warrant
2022-01-20−176,938→ 143,062 total
Exercise: $0.50From: 2020-06-05Exp: 2025-06-04→ Common Stock (320,000 underlying)
Other
Series B Preferred Stock
2022-03-01+2,000,000→ 2,000,000 total(indirect: By LLC)
Exercise: $1.84From: 2022-09-01→ Common Stock (2,000,000 underlying)
Conversion
Series B Preferred Stock
2023-04-30−666,667→ 0 total(indirect: By LLC)
Exercise: $1.84From: 2022-09-01→ Common Stock (666,667 underlying)
Other
Common Stock
2020-12-30−3,128,896→ 11,322,575 total(indirect: By LLC)
Conversion
Common Stock
2020-12-31+3,103,028→ 11,322,575 total(indirect: By LLC)
Other
Common Stock
2022-03-01−2,000,000→ 2,711,923 total(indirect: By LLC)
Conversion
Common Stock
2023-06-12+666,667→ 2,542,616 total(indirect: By LLC)
Exercise of In-Money
Convertible Note
2020-12-31−3,103,028→ 0 total
Exercise: $0.50From: 2020-06-05→ Common Stock (3,103,028 underlying)
Other
Common Stock
2022-03-01−2,000,000→ 2,711,923 total
Conversion
Common Stock
2023-06-12+666,667→ 2,542,616 total
Conversion
Series A-1 Preferred Stock
2020-12-15$1.00/sh−2,743,169$2,743,169→ 0 total(indirect: By LLC)
Exercise: $1.00From: 2019-12-12→ Common Stock (2,743,169 underlying)
Exercise of In-Money
Warrant
2022-01-20−176,938→ 143,062 total(indirect: By LLC)
Exercise: $0.50From: 2020-06-05Exp: 2025-06-04→ Common Stock (320,000 underlying)
Other
Series B Preferred Stock
2022-03-01+2,000,000→ 2,000,000 total
Exercise: $1.84From: 2022-09-01→ Common Stock (2,000,000 underlying)
Conversion
Series B Preferred Stock
2023-04-30−666,667→ 0 total
Exercise: $1.84From: 2022-09-01→ Common Stock (666,667 underlying)
Conversion
Common Stock
2020-12-15$1.00/sh+2,743,169$2,743,169→ 11,322,675 total(indirect: By LLC)
Other
Common Stock
2020-09-23−1,025,829→ 11,322,575 total(indirect: By LLC)
Conversion
Series A-1 Preferred Stock
2020-12-15$1.00/sh−2,743,169$2,743,169→ 0 total
Exercise: $1.00From: 2019-12-12→ Common Stock (2,743,169 underlying)
Exercise of In-Money
Convertible Note
2020-12-31−3,103,028→ 0 total(indirect: By LLC)
Exercise: $0.50From: 2020-06-05→ Common Stock (3,103,028 underlying)
Conversion
Common Stock
2020-12-31+3,103,028→ 11,322,575 total
Exercise of In-Money
Common Stock
2022-01-20$0.50/sh+176,938$88,469→ 2,711,923 total
Other
Common Stock
2022-06-30−888,750→ 2,711,923 total(indirect: By LLC)
Other
Common Stock
2020-09-23−1,025,829→ 11,322,575 total
Conversion
Common Stock
2020-12-15$1.00/sh+2,743,169$2,743,169→ 2,743,169 total
Other
Common Stock
2022-06-30−888,750→ 25,639 total
Other
Common Stock
2020-12-30−3,128,896→ 11,322,575 total
Exercise of In-Money
Common Stock
2022-01-20$0.50/sh+176,938$88,469→ 2,711,923 total(indirect: By LLC)

Holdings

Convertible Note
(indirect: By LLC)
Exercise: $0.50From: 2020-06-05→ Common Stock (3,103,028 underlying)
3,103,028
Warrant
Exercise: $0.50From: 2020-06-05Exp: 2025-06-04→ Common Stock (320,000 underlying)
320,000
Common Stock
11,322,575
Series A-1 Preferred Stock
Exercise: $1.00From: 2019-12-12→ Common Stock (2,700,000 underlying)
2,700,000
Warrant
(indirect: By LLC)
Exercise: $0.50From: 2020-06-05Exp: 2025-06-04→ Common Stock (320,000 underlying)
320,000
Convertible Note
Exercise: $0.50From: 2020-06-05→ Common Stock (3,103,028 underlying)
3,103,028
Series A-1 Preferred Stock
(indirect: By LLC)
Exercise: $1.00From: 2019-12-12→ Common Stock (2,700,000 underlying)
2,700,000

First Capital Holdings LLC

10% Owner

Transactions

Other
Common Stock
2022-06-30−888,750→ 25,639 total
Exercise of In-Money
Convertible Note
2020-12-31−3,103,028→ 0 total(indirect: By LLC)
Exercise: $0.50From: 2020-06-05→ Common Stock (3,103,028 underlying)
Conversion
Common Stock
2020-12-31+3,103,028→ 11,322,575 total
Exercise of In-Money
Common Stock
2022-01-20$0.50/sh+176,938$88,469→ 2,711,923 total
Other
Common Stock
2020-12-30−3,128,896→ 11,322,575 total(indirect: By LLC)
Conversion
Common Stock
2020-12-31+3,103,028→ 11,322,575 total(indirect: By LLC)
Exercise of In-Money
Warrant
2022-01-20−176,938→ 143,062 total
Exercise: $0.50From: 2020-06-05Exp: 2025-06-04→ Common Stock (320,000 underlying)
Other
Series B Preferred Stock
2022-03-01+2,000,000→ 2,000,000 total
Exercise: $1.84From: 2022-09-01→ Common Stock (2,000,000 underlying)
Conversion
Common Stock
2020-12-15$1.00/sh+2,743,169$2,743,169→ 11,322,675 total(indirect: By LLC)
Conversion
Series B Preferred Stock
2023-04-30−666,667→ 0 total
Exercise: $1.84From: 2022-09-01→ Common Stock (666,667 underlying)
Conversion
Common Stock
2020-12-15$1.00/sh+2,743,169$2,743,169→ 2,743,169 total
Exercise of In-Money
Common Stock
2022-01-20$0.50/sh+176,938$88,469→ 2,711,923 total(indirect: By LLC)
Other
Common Stock
2022-03-01−2,000,000→ 2,711,923 total(indirect: By LLC)
Other
Common Stock
2020-09-23−1,025,829→ 11,322,575 total
Other
Common Stock
2020-12-30−3,128,896→ 11,322,575 total
Other
Common Stock
2020-09-23−1,025,829→ 11,322,575 total(indirect: By LLC)
Conversion
Series B Preferred Stock
2023-04-30−666,667→ 0 total(indirect: By LLC)
Exercise: $1.84From: 2022-09-01→ Common Stock (666,667 underlying)
Other
Common Stock
2022-03-01−2,000,000→ 2,711,923 total
Other
Common Stock
2022-06-30−888,750→ 2,711,923 total(indirect: By LLC)
Conversion
Common Stock
2023-06-12+666,667→ 2,542,616 total(indirect: By LLC)
Exercise of In-Money
Convertible Note
2020-12-31−3,103,028→ 0 total
Exercise: $0.50From: 2020-06-05→ Common Stock (3,103,028 underlying)
Other
Series B Preferred Stock
2022-03-01+2,000,000→ 2,000,000 total(indirect: By LLC)
Exercise: $1.84From: 2022-09-01→ Common Stock (2,000,000 underlying)
Conversion
Common Stock
2023-06-12+666,667→ 2,542,616 total
Conversion
Series A-1 Preferred Stock
2020-12-15$1.00/sh−2,743,169$2,743,169→ 0 total(indirect: By LLC)
Exercise: $1.00From: 2019-12-12→ Common Stock (2,743,169 underlying)
Conversion
Series A-1 Preferred Stock
2020-12-15$1.00/sh−2,743,169$2,743,169→ 0 total
Exercise: $1.00From: 2019-12-12→ Common Stock (2,743,169 underlying)
Exercise of In-Money
Warrant
2022-01-20−176,938→ 143,062 total(indirect: By LLC)
Exercise: $0.50From: 2020-06-05Exp: 2025-06-04→ Common Stock (320,000 underlying)

Holdings

Common Stock
11,322,575
Series A-1 Preferred Stock
Exercise: $1.00From: 2019-12-12→ Common Stock (2,700,000 underlying)
2,700,000
Warrant
Exercise: $0.50From: 2020-06-05Exp: 2025-06-04→ Common Stock (320,000 underlying)
320,000
Convertible Note
(indirect: By LLC)
Exercise: $0.50From: 2020-06-05→ Common Stock (3,103,028 underlying)
3,103,028
Warrant
(indirect: By LLC)
Exercise: $0.50From: 2020-06-05Exp: 2025-06-04→ Common Stock (320,000 underlying)
320,000
Series A-1 Preferred Stock
(indirect: By LLC)
Exercise: $1.00From: 2019-12-12→ Common Stock (2,700,000 underlying)
2,700,000
Convertible Note
Exercise: $0.50From: 2020-06-05→ Common Stock (3,103,028 underlying)
3,103,028

SOBR Safe LLC

10% Owner

Transactions

Other
Common Stock
2020-12-30−3,128,896→ 11,322,575 total(indirect: By LLC)
Other
Common Stock
2020-12-30−3,128,896→ 11,322,575 total
Exercise of In-Money
Common Stock
2022-01-20$0.50/sh+176,938$88,469→ 2,711,923 total(indirect: By LLC)
Other
Common Stock
2022-03-01−2,000,000→ 2,711,923 total(indirect: By LLC)
Conversion
Series A-1 Preferred Stock
2020-12-15$1.00/sh−2,743,169$2,743,169→ 0 total
Exercise: $1.00From: 2019-12-12→ Common Stock (2,743,169 underlying)
Exercise of In-Money
Warrant
2022-01-20−176,938→ 143,062 total(indirect: By LLC)
Exercise: $0.50From: 2020-06-05Exp: 2025-06-04→ Common Stock (320,000 underlying)
Conversion
Common Stock
2020-12-15$1.00/sh+2,743,169$2,743,169→ 11,322,675 total(indirect: By LLC)
Other
Series B Preferred Stock
2022-03-01+2,000,000→ 2,000,000 total(indirect: By LLC)
Exercise: $1.84From: 2022-09-01→ Common Stock (2,000,000 underlying)
Other
Common Stock
2022-06-30−888,750→ 25,639 total
Exercise of In-Money
Convertible Note
2020-12-31−3,103,028→ 0 total(indirect: By LLC)
Exercise: $0.50From: 2020-06-05→ Common Stock (3,103,028 underlying)
Exercise of In-Money
Convertible Note
2020-12-31−3,103,028→ 0 total
Exercise: $0.50From: 2020-06-05→ Common Stock (3,103,028 underlying)
Conversion
Series B Preferred Stock
2023-04-30−666,667→ 0 total(indirect: By LLC)
Exercise: $1.84From: 2022-09-01→ Common Stock (666,667 underlying)
Conversion
Series B Preferred Stock
2023-04-30−666,667→ 0 total
Exercise: $1.84From: 2022-09-01→ Common Stock (666,667 underlying)
Other
Common Stock
2020-09-23−1,025,829→ 11,322,575 total(indirect: By LLC)
Other
Series B Preferred Stock
2022-03-01+2,000,000→ 2,000,000 total
Exercise: $1.84From: 2022-09-01→ Common Stock (2,000,000 underlying)
Other
Common Stock
2022-03-01−2,000,000→ 2,711,923 total
Other
Common Stock
2022-06-30−888,750→ 2,711,923 total(indirect: By LLC)
Conversion
Common Stock
2023-06-12+666,667→ 2,542,616 total
Conversion
Common Stock
2020-12-15$1.00/sh+2,743,169$2,743,169→ 2,743,169 total
Conversion
Common Stock
2020-12-31+3,103,028→ 11,322,575 total(indirect: By LLC)
Conversion
Series A-1 Preferred Stock
2020-12-15$1.00/sh−2,743,169$2,743,169→ 0 total(indirect: By LLC)
Exercise: $1.00From: 2019-12-12→ Common Stock (2,743,169 underlying)
Exercise of In-Money
Warrant
2022-01-20−176,938→ 143,062 total
Exercise: $0.50From: 2020-06-05Exp: 2025-06-04→ Common Stock (320,000 underlying)
Other
Common Stock
2020-09-23−1,025,829→ 11,322,575 total
Conversion
Common Stock
2020-12-31+3,103,028→ 11,322,575 total
Exercise of In-Money
Common Stock
2022-01-20$0.50/sh+176,938$88,469→ 2,711,923 total
Conversion
Common Stock
2023-06-12+666,667→ 2,542,616 total(indirect: By LLC)

Holdings

Warrant
(indirect: By LLC)
Exercise: $0.50From: 2020-06-05Exp: 2025-06-04→ Common Stock (320,000 underlying)
320,000
Common Stock
11,322,575
Series A-1 Preferred Stock
(indirect: By LLC)
Exercise: $1.00From: 2019-12-12→ Common Stock (2,700,000 underlying)
2,700,000
Warrant
Exercise: $0.50From: 2020-06-05Exp: 2025-06-04→ Common Stock (320,000 underlying)
320,000
Series A-1 Preferred Stock
Exercise: $1.00From: 2019-12-12→ Common Stock (2,700,000 underlying)
2,700,000
Convertible Note
(indirect: By LLC)
Exercise: $0.50From: 2020-06-05→ Common Stock (3,103,028 underlying)
3,103,028
Convertible Note
Exercise: $0.50From: 2020-06-05→ Common Stock (3,103,028 underlying)
3,103,028

Footnotes (12)

[F1]Issued to IDTEC, LLC pursuant to an Asset Purchase Agreement dated May 6, 2019 (and Amendment No. 1 thereto dated March 9, 2020, together the "APA") between the Issuer and IDTEC, LLC, and related transactions (together with the asset purchase the "Transaction"), under which IDTEC LLC was issued (i) 12,000,000 shares of the Issuer's common stock, (ii) a convertible promissory note ( the "Note") in the principal amount of $1,485,189 with a conversion price of $0.50 per share, and (iii) a warrant (the "Warrant") to purchase up to 320,000 shares of the Issuer's common stock at an exercise price of $0.50 per share.. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of IDTEC, LLC.
[F10]Conversion by First Capital Holdings, LLC, the successor of IDTEC LLC, of 666,667 shares of series B preferred stock of the Issuer into 666,667 shares of common stock of the Issuer. Mr. Gary Graham is the Manager of First Capital Holdings, LLC.
[F11]The Issuer effected a 1:3 reverse stock split on April 28, 2022.
[F12]The series A-1 preferred stock and the series B preferred stock are convertible for as long as the shares are outstanding. The Note is convertible until maturity.
[F2]Amounts in all rows in this Column 6 pertain to Gary J. Graham as to the total amount of shares reflected at the end of each fiscal year; pertain to IDTEC, LLC, First Capital Holdings, LLC and First Capital Ventures, LLC as to the total number of shares indicated minus 25,316 shares (after the 1:3 reverse stock split effected on April 28, 2022) underlying stock options held of record by Gary J. Graham, individually. Transactions by SOBR SAFE, LLC pertain only to Gary J. Graham and First Capital Holdings, LLC.
[F3]Distribution by IDTEC, LLC of an aggregate of 1,025,829 shares of common stock of the Issuer to its members. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of IDTEC, LLC.
[F4]Conversion by SOBR SAFE, LLC of 2,700,000 shares of series A-1 preferred stock, plus accrued dividends, to shares of common stock. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of SOBR SAFE, LLC.
[F5]Transfer by IDTEC, LLC of an aggregate of 3,128,896 shares of common stock of the Issuer to 24 individuals or entities that had assisted the company. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of IDTEC, LLC.
[F6]Conversion by IDTEC, LLC of principal and accrued interest on the Note into 3,103,028 shares of common stock of the Issuer at $0.50 per share. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of IDTEC, LLC.
[F7]Exercise by IDTEC, LLC of the Warrant.
[F8]Exchange by IDTEC, LLC of 2,000,000 shares of common stock of the Issuer for 2,000,000 shares of preferred stock of the Issuer. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of IDTEC, LLC.
[F9]Liquidating distribution by SOBR SAFE LLC to its members with 25,639 shares retained to cover liquidation expenses. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of SOBR SAFE, LLC.

Documents

1 file

5
ownership.xmlPrimary

Issuer

SOBR Safe, Inc.

CIK 0001425627

→

Entity typeother

Related Parties

filerCIK 0001794353

Filing Metadata

Form type: 5
Filed: Jan 29, 7:00 PM ET
Accepted: Jan 30, 10:07 AM ET
Size: 69.7 KB

View on SEC.gov