Ronald P. Erickson - Dec 16, 2021 Form 4 Insider Report for KNOW LABS, INC. (KNW)

Role
Director, Chairman
Signature
/s/ Ronald P. Erickson
Stock symbol
KNW
Transactions as of
Dec 16, 2021
Transactions value $
$0
Form type
4
Date filed
12/21/2021, 08:06 AM
Previous filing
Sep 14, 2021
Next filing
Jan 24, 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding KNW Common Stock 521K Dec 16, 2021 Direct
holding KNW Common Stock 8.33K Dec 16, 2021 . F1
holding KNW Common Stock 1.47K Dec 16, 2021 . F2
holding KNW Common Stock 20.3K Dec 16, 2021 . F3
holding KNW Common Stock 910K Dec 16, 2021 . F4
holding KNW Common Stock 2.01K Dec 16, 2021 . F5

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction KNW Option to Purchase Common Stock Award $0 +1M $0.00 1M Dec 16, 2021 Common Stock 1M $2.09 Direct F9
holding KNW Warrant to Purchase Common Stock 855K Dec 16, 2021 Common Stock 855K $0.50 Direct F6
holding KNW Warrant to Purchase Common Stock 1.04M Dec 16, 2021 Common Stock 1.04M $0.50 . F4, F6
holding KNW Option to Purchase Common Stock 1.2M Dec 16, 2021 Common Stock 1.2M $1.10 Direct F7
holding KNW Warrant to Purchase Common Stock 2M Dec 16, 2021 Common Stock 2M $1.53 Direct F6
holding KNW Option to Purchase Common Stock 3.73M Dec 16, 2021 Common Stock 3.73M $1.53 Direct F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.