Ronald P. Erickson - 30 Jan 2024 Form 4 Insider Report for KNOW LABS, INC. (KNW)

Role
CEO, Director, Chairman
Signature
/s/ Ronald P. Erickson
Issuer symbol
KNW
Transactions as of
30 Jan 2024
Net transactions value
$0
Form type
4
Filing time
31 May 2024, 16:18:21 UTC
Previous filing
13 Oct 2023
Next filing
07 May 2025
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 30 Jan 2024 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
holding KNW Convertible Debenture 2,079,332 30 Jan 2024 Common Stock 2,079,332 $0.2500 . F1, F3, F4
holding KNW Convertible Debenture 2,656,932 30 Jan 2024 Common Stock 2,656,932 $0.2500 . F2, F3, F4
holding KNW Warrant to Purchase Common Stock 855,000 30 Jan 2024 Common Stock 855,000 $0.2500 Direct F3
holding KNW Warrant to Purchase Common Stock 1,039,666 30 Jan 2024 Common Stock 1,039,666 $0.2500 . F3, F4
holding KNW Option to Purchase Common Stock 1,200,000 30 Jan 2024 Common Stock 1,200,000 $1.10 Direct F5
holding KNW Warrant to Purchase Common Stock 2,000,000 30 Jan 2024 Common Stock 2,000,000 $1.53 Direct F6
holding KNW Option to Purchase Common Stock 3,731,350 30 Jan 2024 Common Stock 3,731,350 $1.53 Direct F6
holding KNW Option to Purchase Common Stock 1,000,000 30 Jan 2024 Common Stock 1,000,000 $2.09 Direct F7
holding KNW Option to Purchase Common Stock 1,000,000 30 Jan 2024 Common Stock 1,000,000 $1.41 Direct F7
holding KNW Option to Purchase Common Stock 4,640,844 30 Jan 2024 Common Stock 4,640,844 $0.2500 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 is filed to indicate an extension of the expiration dates for the two line items in Table II above titled Warrant to Purchase Common Stock with dates exerciseable 01/31/2018, per the Warrant Extension Agreement dated 01/30/2024. The Warrant exercise term is amended such that the term of the warrant will be extended for an additional two (2) year period, and the Warrants shall now expire on 01/31/2026.