Ronald P. Erickson - 15 Mar 2023 Form 4 Insider Report for KNOW LABS, INC. (KNW)

Role
Director, Chairman
Signature
/s/ Ronald P. Erickson
Issuer symbol
KNW
Transactions as of
15 Mar 2023
Transactions value $
$4,245
Form type
4
Filing time
16 Mar 2023, 09:01:31 UTC
Previous filing
19 Dec 2022
Next filing
13 Oct 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction KNW Common Stock Purchase $4.25K +5K +0.92% $0.85 546K 15 Mar 2023 Direct
holding KNW Common Stock 8.33K 15 Mar 2023 . F1
holding KNW Common Stock 1.47K 15 Mar 2023 . F2
holding KNW Common Stock 20.3K 15 Mar 2023 . F3
holding KNW Common Stock 910K 15 Mar 2023 . F4
holding KNW Common Stock 2.01K 15 Mar 2023 . 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
holding KNW Warrant to Purchase Common Stock 855K 15 Mar 2023 Common Stock 855K $0.50 Direct F6
holding KNW Warrant to Purchase Common Stock 1.04M 15 Mar 2023 Common Stock 1.04M $0.50 . F4, F6
holding KNW Option to Purchase Common Stock 1.2M 15 Mar 2023 Common Stock 1.2M $1.10 Direct F7
holding KNW Warrant to Purchase Common Stock 2M 15 Mar 2023 Common Stock 2M $1.53 Direct F6
holding KNW Option to Purchase Common Stock 3.73M 15 Mar 2023 Common Stock 3.73M $1.53 Direct F8
holding KNW Option to Purchase Common Stock 1M 15 Mar 2023 Common Stock 1M $2.09 Direct F9
holding KNW Option to Purchase Common Stock 1M 15 Mar 2023 Common Stock 1M $1.41 Direct F9
* 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.