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

Role
Director, Chairman
Signature
/s/ Ronald P. Erickson
Issuer symbol
KNW
Transactions as of
16 Dec 2021
Net transactions value
$0
Form type
4
Filing time
21 Dec 2021, 08:06:01 UTC
Previous filing
14 Sep 2021
Next filing
24 Jan 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 520,934 16 Dec 2021 Direct
holding KNW Common Stock 8,334 16 Dec 2021 . F1
holding KNW Common Stock 1,467 16 Dec 2021 . F2
holding KNW Common Stock 20,335 16 Dec 2021 . F3
holding KNW Common Stock 910,001 16 Dec 2021 . F4
holding KNW Common Stock 2,014 16 Dec 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 +1,000,000 $0.000000 1,000,000 16 Dec 2021 Common Stock 1,000,000 $2.09 Direct F9
holding KNW Warrant to Purchase Common Stock 855,000 16 Dec 2021 Common Stock 855,000 $0.5000 Direct F6
holding KNW Warrant to Purchase Common Stock 1,039,666 16 Dec 2021 Common Stock 1,039,666 $0.5000 . F4, F6
holding KNW Option to Purchase Common Stock 1,200,000 16 Dec 2021 Common Stock 1,200,000 $1.10 Direct F7
holding KNW Warrant to Purchase Common Stock 2,000,000 16 Dec 2021 Common Stock 2,000,000 $1.53 Direct F6
holding KNW Option to Purchase Common Stock 3,731,350 16 Dec 2021 Common Stock 3,731,350 $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.