Ronald P. Erickson - Oct 10, 2023 Form 4/A - Amendment Insider Report for KNOW LABS, INC. (KNW)

Role
CEO, Director, Chairman
Signature
/s/ Ronald P. Erickson
Stock symbol
KNW
Transactions as of
Oct 10, 2023
Transactions value $
$0
Form type
4/A - Amendment
Date filed
10/13/2023, 05:31 PM
Date Of Original Report
Oct 11, 2023
Previous filing
Mar 16, 2023
Next filing
May 31, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding KNW Common Stock 546K Oct 10, 2023 Direct
holding KNW Common Stock 8.33K Oct 10, 2023 . F1
holding KNW Common Stock 1.47K Oct 10, 2023 . F2
holding KNW Common Stock 20.3K Oct 10, 2023 . F3
holding KNW Common Stock 910K Oct 10, 2023 . F4
holding KNW Common Stock 2.01K Oct 10, 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
transaction KNW Option to Purchase Common Stock Award $0 +4.64M $0.00 4.64M Oct 10, 2023 Common Stock 4.64M $0.25 Direct F9
holding KNW Warrant to Purchase Common Stock 855K Oct 10, 2023 Common Stock 855K $0.25 Direct F6
holding KNW Warrant to Purchase Common Stock 1.04M Oct 10, 2023 Common Stock 1.04M $0.25 . F4, F6
holding KNW Option to Purchase Common Stock 1.2M Oct 10, 2023 Common Stock 1.2M $1.10 Direct F7
holding KNW Warrant to Purchase Common Stock 2M Oct 10, 2023 Common Stock 2M $1.53 Direct F6
holding KNW Option to Purchase Common Stock 3.73M Oct 10, 2023 Common Stock 3.73M $1.53 Direct F8
holding KNW Option to Purchase Common Stock 1M Oct 10, 2023 Common Stock 1M $2.09 Direct F9
holding KNW Option to Purchase Common Stock 1M Oct 10, 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.

Remarks:

This Form 4 Amendment is filed to correctly update the first two line items of Warrant to Purchase Common Stock in Table II above. The Exercise Price, Date Exercisable and Expiration Date have been updated per Extension of Warrant Agreements dated 01/19/2023.