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Home/Filings/4/0001161697-21-000585
4//SEC Filing

ERICKSON RONALD P 4

Accession 0001161697-21-000585

CIK 0001074828other
View on SEC.govCompany Profile

Filed

Dec 20, 7:00 PM ET

Accepted

Dec 21, 9:06 AM ET

Size

17.2 KB

Accession

0001161697-21-000585

Insider Transaction Report

Form 4
Period: 2021-12-16
KNOW LABS, INC.KNWN
ERICKSON RONALD P
DirectorCEO
Transactions
  • Award

    Option to Purchase Common Stock

    2021-12-16+1,000,000→ 1,000,000 total
    Exercise: $2.09Exp: 2026-12-16→ Common Stock (1,000,000 underlying)
Holdings

  • Common Stock

    520,934

  • 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

    (indirect: .)
    8,334

  • 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

  • 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: .)
    1,467

  • Common Stock

    (indirect: .)
    20,335

  • Common Stock

    (indirect: .)
    910,001

  • Option to Purchase Common Stock

    Exercise: $1.10Exp: 2024-11-04→ Common Stock (1,200,000 underlying)
    1,200,000
Footnotes (9)
  • [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.
  • [F9]Options vest quarterly over four years. Immediate vesting upon the occurrence of a Change-in-Control.

Documents

1 file

Issuer

KNOW LABS, INC.

CIK 0001074828

→
Entity typeother

Related Parties

1
  • filerCIK 0001140319

Filing Metadata

Form type
4
Filed
Dec 20, 7:00 PM ET
Accepted
Dec 21, 9:06 AM ET
Size
17.2 KB
View on SEC.gov