KNOW LABS, INC.|4Sep 14, 9:17 PM ET

ERICKSON RONALD P 4

4 · KNOW LABS, INC. · Filed Sep 14, 2021

Form 4

Period: 2021-09-10

DirectorCEO

Transactions

Holdings

Warrant to Purchase Common Stock
(indirect: .)
Exercise: $0.50From: 2018-03-16Exp: 2023-03-16→ Common Stock (1,039,666 underlying)
1,039,666
Common Stock
520,934
Common Stock
(indirect: .)
1,467
Common Stock
(indirect: .)
20,335
Warrant to Purchase Common Stock
Exercise: $1.53From: 2020-12-15Exp: 2025-12-15→ Common Stock (2,000,000 underlying)
2,000,000
Option to Purchase Common Stock
Exercise: $1.53Exp: 2025-12-15→ Common Stock (3,731,350 underlying)
3,731,350
Common Stock
(indirect: .)
910,001
Common Stock
(indirect: .)
2,014
Warrant to Purchase Common Stock
Exercise: $0.50From: 2018-01-31Exp: 2023-01-31→ Common Stock (855,000 underlying)
855,000
Option to Purchase Common Stock
Exercise: $1.10Exp: 2024-11-04→ Common Stock (1,200,000 underlying)
1,200,000

Footnotes (8)

[F1]Held by Dia Armenta, the Reporting Person's wife.
[F2]Held by Ronald Erickson, the Reporting Person and Dia Armenta, the Reporting Person's wife.
[F3]Held by Juliz Limited Partnership- Family LP.
[F4]Held by J3E2A2Z Limited Partnership.
[F5]Held by Cerillion N4, an entity that is 50% owned by Dia Armenta, the Reporting Person's wife.
[F6]Price subject to adjustment.
[F7]Option shares vest upon the Company's successful listing of its Common Stock on Nasdaq or the New York Stock Exchange (including the NYSE American Market).
[F8]Milestone-based Option shares vest upon the Company's successful milestone achievements set forth in two Stock Option Agreements dated 12/15/2020.

Documents

1 file