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
10/18/2023, 08:07 AM
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 1.49M Oct 10, 2023 Direct

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 F7
holding KNW Convertible Debenture 2.08M Oct 10, 2023 Common Stock 2.08M $0.25 . F1, F3, F4
holding KNW Convertible Debenture 2.66M Oct 10, 2023 Common Stock 2.66M $0.25 . F2, F3, F4
holding KNW Warrant to Purchase Common Stock 855K Oct 10, 2023 Common Stock 855K $0.25 Direct F3
holding KNW Warrant to Purchase Common Stock 1.04M Oct 10, 2023 Common Stock 1.04M $0.25 . F3, F4
holding KNW Option to Purchase Common Stock 1.2M Oct 10, 2023 Common Stock 1.2M $1.10 Direct F5
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 F6
holding KNW Option to Purchase Common Stock 1M Oct 10, 2023 Common Stock 1M $2.09 Direct F7
holding KNW Option to Purchase Common Stock 1M Oct 10, 2023 Common Stock 1M $1.41 Direct F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Convertible Debenture for $519,833 that is convertible at $0.25 per share by 09/30/2024.
F2 Convertible Debenture for $669,223 that is convertible at $0.25 per share by 09/30/2024.
F3 Price subject to adjustment.
F4 Held by J3E2A2Z Limited Partnership, an entity affiliated with Ronald P. Erickson.
F5 Option shares vested upon the Company's successful listing of its Common Stock on Nasdaq or the New York Stock Exchange (including the NYSE American Market).
F6 Milestone-based Option shares vest upon the Company's successful milestone achievements set forth in two Stock Option Agreements dated 12/15/2020.
F7 Options vest quarterly over four years. Immediate vesting upon the occurrence of a Change-in-Control.

Remarks:

This Form 4 Amendment No. 2 is filed to correctly include holding of the first two line items of Convertible Debenture in Table II above, and ownership form of holdings in Table I above.