4//SEC Filing
ERICKSON RONALD P 4
Accession 0001161697-25-000225
CIK 0001074828other
Filed
Aug 7, 8:00 PM ET
Accepted
Aug 8, 5:13 PM ET
Size
14.3 KB
Accession
0001161697-25-000225
Insider Transaction Report
Form 4
ERICKSON RONALD P
DirectorCEO
Transactions
- Other
Series H Convertible Preferred Stock
2025-08-06−16,916→ 0 total(indirect: .)Exercise: $0.34→ Common Stock (16,916 underlying) - Award
Common Stock
2025-08-06+335,000→ 472,202 total - Other
Common Stock
2025-08-06+2,000,000→ 2,000,000 total(indirect: .)
Holdings
- 50,000
Warrant to Purchase Common Stock
Exercise: $61.20From: 2020-12-15Exp: 2025-12-15→ Common Stock (50,000 underlying) - 21,375
Warrant to Purchase Common Stock
Exercise: $9.60From: 2018-01-31Exp: 2026-01-31→ Common Stock (21,375 underlying) - 25,992(indirect: .)
Warrant to Purchase Common Stock
Exercise: $9.60From: 2018-01-31Exp: 2026-01-31→ Common Stock (25,992 underlying)
Footnotes (5)
- [F1]On August 6, 2025 (the "Grant Date"), the Reporting Person was awarded 335,000 shares of common stock of the Issuer, 50% of which is fully vested on the Grant Date and the remainder of which (the "restricted shares") will vest in 8 quarterly installments with the first two installments vesting six months after the Grant Date. The restricted shares vest in full in the event of a sale of all or substantially all of the Company's sensor related intellectual property or an involuntary termination of Mr. Erickson's employment.
- [F2]Includes unvested restricted shares.
- [F3]On the Grant Date, the Issuer redeemed 16,916 shares of Series H Convertible Preferred Stock held by J3E2A2Z (as defined below) for a combination of cash and common stock at a redemption price equal to the stated value of $70, plus all accrued and unpaid dividends in an amount of $140,210.15, resulting in (i) a cash payment to J3E2A2Z of $654,276.15 in the aggregate and (ii) the issuance to J3E2A2Z of 2,000,000 shares of common stock in the aggregate, at a conversion price of $0.335 per share.
- [F4]Held by J3E2A2Z Limited Partnership ("J3E2A2Z"), an entity affiliated with Ronald P. Erickson.
- [F5]Price subject to adjustment.
Documents
Issuer
KNOW LABS, INC.
CIK 0001074828
Entity typeother
Related Parties
1- filerCIK 0001140319
Filing Metadata
- Form type
- 4
- Filed
- Aug 7, 8:00 PM ET
- Accepted
- Aug 8, 5:13 PM ET
- Size
- 14.3 KB