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Home/Filings/4/A/0001161697-23-000546
4/A//SEC Filing

ERICKSON RONALD P 4/A

Accession 0001161697-23-000546

CIK 0001074828other
View on SEC.govCompany Profile

Filed

Oct 12, 8:00 PM ET

Accepted

Oct 13, 5:31 PM ET

Size

20.1 KB

Accession

0001161697-23-000546

Insider Transaction Report

Form 4/AAmended
Period: 2023-10-10
KNOW LABS, INC.KNWN
ERICKSON RONALD P
DirectorCEO
Transactions
  • Award

    Option to Purchase Common Stock

    2023-10-10+4,640,844→ 4,640,844 total
    Exercise: $0.25Exp: 2028-10-10→ Common Stock (4,640,844 underlying)
Holdings

  • Option to Purchase Common Stock

    Exercise: $1.41Exp: 2027-12-14→ Common Stock (1,000,000 underlying)
    1,000,000

  • Common Stock

    (indirect: .)
    910,001

  • Common Stock

    545,934

  • Common Stock

    (indirect: .)
    1,467

  • Option to Purchase Common Stock

    Exercise: $1.53Exp: 2025-12-15→ Common Stock (3,731,350 underlying)
    3,731,350

  • Option to Purchase Common Stock

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

  • Warrant to Purchase Common Stock

    (indirect: .)
    Exercise: $0.25From: 2018-01-31Exp: 2024-01-30→ Common Stock (1,039,666 underlying)
    1,039,666

  • Warrant to Purchase Common Stock

    Exercise: $1.53From: 2020-12-15Exp: 2025-12-15→ Common Stock (2,000,000 underlying)
    2,000,000

  • Warrant to Purchase Common Stock

    Exercise: $0.25From: 2018-01-31Exp: 2024-01-30→ 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

  • Common Stock

    (indirect: .)
    8,334

  • Common Stock

    (indirect: .)
    20,335

  • Common Stock

    (indirect: .)
    2,014
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/A
Filed
Oct 12, 8:00 PM ET
Accepted
Oct 13, 5:31 PM ET
Size
20.1 KB
View on SEC.gov