Gary John Graham - 31 Dec 2023 Form 5 Insider Report for SOBR Safe, Inc. (SOBR)

Role
10%+ Owner
Signature
/s/ Gary J. Graham
Issuer symbol
SOBR
Transactions as of
31 Dec 2023
Net transactions value
+$176,938
Form type
5
Filing time
30 Jan 2024, 10:07:58 UTC
Next filing
07 Mar 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SOBR Common Stock Other -1,025,829 -8.3% 11,322,575 23 Sep 2020 By IDTEC, LLC F3
transaction SOBR Common Stock Other -1,025,829 -8.3% 11,322,575 23 Sep 2020 Direct F3
transaction SOBR Common Stock Conversion of derivative security $2,743,169 +2,743,169 +32% $1.00* 11,322,675 15 Dec 2020 By SOBR SAFE, LLC
transaction SOBR Common Stock Conversion of derivative security $2,743,169 +2,743,169 $1.00* 2,743,169 15 Dec 2020 Direct F4
transaction SOBR Common Stock Other -3,128,896 -22% 11,322,575 30 Dec 2020 By IDTEC, LLC F5
transaction SOBR Common Stock Other -3,128,896 -22% 11,322,575 30 Dec 2020 Direct F5
transaction SOBR Common Stock Conversion of derivative security +3,103,028 +38% 11,322,575 31 Dec 2020 By IDTEC, LLC F6
transaction SOBR Common Stock Conversion of derivative security +3,103,028 +38% 11,322,575 31 Dec 2020 Direct F6
transaction SOBR Common Stock Exercise of in-the-money or at-the-money derivative security $88,469 +176,938 +7% $0.5000* 2,711,923 20 Jan 2022 By IDTEC, LLC
transaction SOBR Common Stock Exercise of in-the-money or at-the-money derivative security $88,469 +176,938 +7% $0.5000* 2,711,923 20 Jan 2022 Direct F7
transaction SOBR Common Stock Other -2,000,000 -42% 2,711,923 01 Mar 2022 By IDTEC, LLC F8
transaction SOBR Common Stock Other -2,000,000 -42% 2,711,923 01 Mar 2022 Direct F8
transaction SOBR Common Stock Other -888,750 -25% 2,711,923 30 Jun 2022 By SOBR SAFE, LLC F9
transaction SOBR Common Stock Other -888,750 -97% 25,639 30 Jun 2022 Direct F9
transaction SOBR Common Stock Conversion of derivative security +666,667 +36% 2,542,616 12 Jun 2023 By First Capital Holdings, LLC F10
transaction SOBR Common Stock Conversion of derivative security +666,667 +36% 2,542,616 12 Jun 2023 Direct F10
holding SOBR Common Stock 11,322,575 31 Dec 2023 Direct F1, F2

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 SOBR Series A-1 Preferred Stock Conversion of derivative security $2,743,169 -2,743,169 -100% $1.00* 0 15 Dec 2020 Common Stock 2,743,169 $1.00 By SOBR SAFE, LLC F12
transaction SOBR Series A-1 Preferred Stock Conversion of derivative security $2,743,169 -2,743,169 -100% $1.00* 0 15 Dec 2020 Common Stock 2,743,169 $1.00 Direct F12
transaction SOBR Convertible Note Exercise of in-the-money or at-the-money derivative security -3,103,028 -100% 0 31 Dec 2020 Common Stock 3,103,028 $0.5000 By IDTEC, LLC F1, F12
transaction SOBR Convertible Note Exercise of in-the-money or at-the-money derivative security -3,103,028 -100% 0 31 Dec 2020 Common Stock 3,103,028 $0.5000 Direct F1, F12
transaction SOBR Warrant Exercise of in-the-money or at-the-money derivative security -176,938 -55% 143,062 20 Jan 2022 Common Stock 320,000 $0.5000 By IDTEC, LLC F1
transaction SOBR Warrant Exercise of in-the-money or at-the-money derivative security -176,938 -55% 143,062 20 Jan 2022 Common Stock 320,000 $0.5000 Direct F1
transaction SOBR Series B Preferred Stock Other +2,000,000 2,000,000 01 Mar 2022 Common Stock 2,000,000 $1.84 By IDTEC, LLC F8, F12
transaction SOBR Series B Preferred Stock Other +2,000,000 2,000,000 01 Mar 2022 Common Stock 2,000,000 $1.84 Direct F8, F12
transaction SOBR Series B Preferred Stock Conversion of derivative security -666,667 -100% 0 30 Apr 2023 Common Stock 666,667 $1.84 By First Capital Holdings, LLC F10, F11, F12
transaction SOBR Series B Preferred Stock Conversion of derivative security -666,667 -100% 0 30 Apr 2023 Common Stock 666,667 $1.84 Direct F10, F11, F12
holding SOBR Series A-1 Preferred Stock 2,700,000 31 Dec 2023 Common Stock 2,700,000 $1.00 By SOBR SAFE, LLC F12
holding SOBR Series A-1 Preferred Stock 2,700,000 31 Dec 2023 Common Stock 2,700,000 $1.00 Direct F12
holding SOBR Convertible Note 3,103,028 31 Dec 2023 Common Stock 3,103,028 $0.5000 By IDTEC, LLC F12
holding SOBR Convertible Note 3,103,028 31 Dec 2023 Common Stock 3,103,028 $0.5000 Direct F12
holding SOBR Warrant 320,000 31 Dec 2023 Common Stock 320,000 $0.5000 By IDTEC, LLC
holding SOBR Warrant 320,000 31 Dec 2023 Common Stock 320,000 $0.5000 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Issued to IDTEC, LLC pursuant to an Asset Purchase Agreement dated May 6, 2019 (and Amendment No. 1 thereto dated March 9, 2020, together the "APA") between the Issuer and IDTEC, LLC, and related transactions (together with the asset purchase the "Transaction"), under which IDTEC LLC was issued (i) 12,000,000 shares of the Issuer's common stock, (ii) a convertible promissory note ( the "Note") in the principal amount of $1,485,189 with a conversion price of $0.50 per share, and (iii) a warrant (the "Warrant") to purchase up to 320,000 shares of the Issuer's common stock at an exercise price of $0.50 per share.. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of IDTEC, LLC.
F2 Amounts in all rows in this Column 6 pertain to Gary J. Graham as to the total amount of shares reflected at the end of each fiscal year; pertain to IDTEC, LLC, First Capital Holdings, LLC and First Capital Ventures, LLC as to the total number of shares indicated minus 25,316 shares (after the 1:3 reverse stock split effected on April 28, 2022) underlying stock options held of record by Gary J. Graham, individually. Transactions by SOBR SAFE, LLC pertain only to Gary J. Graham and First Capital Holdings, LLC.
F3 Distribution by IDTEC, LLC of an aggregate of 1,025,829 shares of common stock of the Issuer to its members. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of IDTEC, LLC.
F4 Conversion by SOBR SAFE, LLC of 2,700,000 shares of series A-1 preferred stock, plus accrued dividends, to shares of common stock. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of SOBR SAFE, LLC.
F5 Transfer by IDTEC, LLC of an aggregate of 3,128,896 shares of common stock of the Issuer to 24 individuals or entities that had assisted the company. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of IDTEC, LLC.
F6 Conversion by IDTEC, LLC of principal and accrued interest on the Note into 3,103,028 shares of common stock of the Issuer at $0.50 per share. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of IDTEC, LLC.
F7 Exercise by IDTEC, LLC of the Warrant.
F8 Exchange by IDTEC, LLC of 2,000,000 shares of common stock of the Issuer for 2,000,000 shares of preferred stock of the Issuer. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of IDTEC, LLC.
F9 Liquidating distribution by SOBR SAFE LLC to its members with 25,639 shares retained to cover liquidation expenses. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of SOBR SAFE, LLC.
F10 Conversion by First Capital Holdings, LLC, the successor of IDTEC LLC, of 666,667 shares of series B preferred stock of the Issuer into 666,667 shares of common stock of the Issuer. Mr. Gary Graham is the Manager of First Capital Holdings, LLC.
F11 The Issuer effected a 1:3 reverse stock split on April 28, 2022.
F12 The series A-1 preferred stock and the series B preferred stock are convertible for as long as the shares are outstanding. The Note is convertible until maturity.