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Home/Filings/4/A/0001161697-23-000551
4/A//SEC Filing

ERICKSON RONALD P 4/A

Accession 0001161697-23-000551

CIK 0001074828other
View on SEC.govCompany Profile

Filed

Oct 17, 8:00 PM ET

Accepted

Oct 18, 8:07 AM ET

Size

19.5 KB

Accession

0001161697-23-000551

Insider Transaction Report

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

    Option to Purchase Common Stock

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

  • Option to Purchase Common Stock

    Exercise: $1.41From: 2022-12-14Exp: 2027-12-14→ Common Stock (1,000,000 underlying)
    1,000,000

  • Common Stock

    1,488,085

  • Convertible Debenture

    (indirect: .)
    Exercise: $0.25From: 2018-01-31Exp: 2024-09-30→ Common Stock (2,079,332 underlying)
    2,079,332

  • Warrant to Purchase Common Stock

    Exercise: $0.25From: 2018-01-31Exp: 2024-01-30→ Common Stock (855,000 underlying)
    855,000

  • Warrant to Purchase Common Stock

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

  • Convertible Debenture

    (indirect: .)
    Exercise: $0.25From: 2018-01-31Exp: 2024-09-30→ Common Stock (2,656,932 underlying)
    2,656,932

  • 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: $1.53From: 2020-12-15Exp: 2025-12-15→ Common Stock (3,731,350 underlying)
    3,731,350

  • Option to Purchase Common Stock

    Exercise: $1.10From: 2019-11-04Exp: 2024-11-04→ Common Stock (1,200,000 underlying)
    1,200,000

  • Option to Purchase Common Stock

    Exercise: $2.09From: 2021-12-16Exp: 2026-12-16→ Common Stock (1,000,000 underlying)
    1,000,000
Footnotes (7)
  • [F1]Convertible Debenture for $519,833 that is convertible at $0.25 per share by 09/30/2024.
  • [F2]Convertible Debenture for $669,223 that is convertible at $0.25 per share by 09/30/2024.
  • [F3]Price subject to adjustment.
  • [F4]Held by J3E2A2Z Limited Partnership, an entity affiliated with Ronald P. Erickson.
  • [F5]Option shares vested upon the Company's successful listing of its Common Stock on Nasdaq or the New York Stock Exchange (including the NYSE American Market).
  • [F6]Milestone-based Option shares vest upon the Company's successful milestone achievements set forth in two Stock Option Agreements dated 12/15/2020.
  • [F7]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 17, 8:00 PM ET
Accepted
Oct 18, 8:07 AM ET
Size
19.5 KB
View on SEC.gov