Brian Shure - Aug 30, 2021 Form 4 Insider Report for Lowell Farms Inc. (LOWLF)

Role
Chief Financial Officer, Director
Signature
/s/ Brian K. Shure
Stock symbol
LOWLF
Transactions as of
Aug 30, 2021
Transactions value $
$0
Form type
4
Date filed
9/1/2021, 08:22 PM
Previous filing
May 10, 2021
Next filing
Jan 4, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction LOWLF Subordinate Voting Shares Purchase +1.7M +934.07% 1.88M Aug 30, 2021 see footnote F1, F2
transaction LOWLF Subordinate Voting Shares Purchase +400K 400K Aug 30, 2021 see footnote F3, F4
transaction LOWLF Subordinate Voting Shares Purchase +100K 100K Aug 30, 2021 see footnote F5, F6
transaction LOWLF Subordinate Voting Shares Purchase +300K 300K Aug 30, 2021 see footnote F7, F8
holding LOWLF Subordinate Voting Shares 34.8K Aug 30, 2021 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 LOWLF Warrants (rights to buy) Purchase +850K 850K Aug 30, 2021 Subordinate Voting Shares 850K $1.40 see footnote F1, F2
transaction LOWLF Warrants (rights to buy) Purchase +200K 200K Aug 30, 2021 Subordinate Voting Shares 200K $1.40 see footnote F3, F4
transaction LOWLF Warrants (rights to buy) Purchase +50K 50K Aug 30, 2021 Subordinate Voting Shares 50K $1.40 see footnote F5, F6
transaction LOWLF Warrants (rights to buy) Purchase +150K 150K Aug 30, 2021 Subordinate Voting Shares 150K $1.40 see footnote F7, F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The reported securities are included within 1,700,000 units purchased for $1.00 per Unit. Each Unit consists of one Subordinate Voting Share and one half of one share purchase warrant.
F2 Held by Ambrose Capital Holdings, LP. Mr. Shure is the President of Ambrose Capital Partners, LLC, which is the general partner of Ambrose Capital Holdings, LP. Mr. Shure disclaims beneficial ownership of the securities held by Ambrose Capital Holdings, LP except to the extent of his pecuniary interest therein.
F3 The reported securities are included within 400,000 units purchased for $1.00 per Unit. Each Unit consists of one Subordinate Voting Share and one half of one share purchase warrant.
F4 Held by AMTG Holdings, LLLP. Mr. Shure is the President of AMTG Management, Inc., which is the general partner of AMTG Holdings, LLLP. Mr. Shure disclaims beneficial ownership of the securities held by AMTG Holdings, LLLP except to the extent of his pecuniary interest therein.
F5 The reported securities are included within 100,000 units purchased for $1.00 per Unit. Each Unit consists of one Subordinate Voting Share and one half of one share purchase warrant.
F6 Held by HSK Holdings, LLC. Mr. Shure is the Managing Member of HSK Holdings, LLC. Mr. Shure disclaims beneficial ownership of the securities held by HSK Holdings, LLC except to the extent of his pecuniary interest therein.
F7 The reported securities are included within 300,000 units purchased for $1.00 per Unit. Each Unit consists of one Subordinate Voting Share and one half of one share purchase warrant.
F8 Held by the Brian K. Shure Charitable Lead Annuity Trust, of which the reporting person is the trustee and of which the reporting person's three children are the beneficiaries.