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

Role
CEO, Director, Chairman
Signature
/s/ Ronald P. Erickson
Issuer symbol
KNW
Transactions as of
10 Oct 2023
Net transactions value
$0
Form type
4/A - Amendment
Filing time
18 Oct 2023, 08:07:13 UTC
Date Of Original Report
11 Oct 2023
Previous filing
16 Mar 2023
Next filing
31 May 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding KNW Common Stock 1,488,085 10 Oct 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 +4,640,844 $0.000000 4,640,844 10 Oct 2023 Common Stock 4,640,844 $0.2500 Direct F7
holding KNW Convertible Debenture 2,079,332 10 Oct 2023 Common Stock 2,079,332 $0.2500 . F1, F3, F4
holding KNW Convertible Debenture 2,656,932 10 Oct 2023 Common Stock 2,656,932 $0.2500 . F2, F3, F4
holding KNW Warrant to Purchase Common Stock 855,000 10 Oct 2023 Common Stock 855,000 $0.2500 Direct F3
holding KNW Warrant to Purchase Common Stock 1,039,666 10 Oct 2023 Common Stock 1,039,666 $0.2500 . F3, F4
holding KNW Option to Purchase Common Stock 1,200,000 10 Oct 2023 Common Stock 1,200,000 $1.10 Direct F5
holding KNW Warrant to Purchase Common Stock 2,000,000 10 Oct 2023 Common Stock 2,000,000 $1.53 Direct F6
holding KNW Option to Purchase Common Stock 3,731,350 10 Oct 2023 Common Stock 3,731,350 $1.53 Direct F6
holding KNW Option to Purchase Common Stock 1,000,000 10 Oct 2023 Common Stock 1,000,000 $2.09 Direct F7
holding KNW Option to Purchase Common Stock 1,000,000 10 Oct 2023 Common Stock 1,000,000 $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.