Filing Details
- Accession Number:
- 0001161697-23-000164
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-03-16 09:01:31
- Reporting Period:
- 2023-03-15
- Accepted Time:
- 2023-03-16 09:01:31
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1074828 | Know Labs Inc. | KNWN | Measuring & Controlling Devices, Nec (3829) | 900273142 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1140319 | P Ronald Erickson | 500 Union Street Suite 810 Seattle WA 98101 | Yes | No | No | Yes |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2023-03-15 | 5,000 | $0.85 | 545,934 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 8,334 | Indirect | . |
| Common Stock | 1,467 | Indirect | . |
| Common Stock | 20,335 | Indirect | . |
| Common Stock | 910,001 | Indirect | . |
| Common Stock | 2,014 | Indirect | . |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant to Purchase Common Stock | $0.50 | 2018-01-31 | 2023-01-31 | 855,000 | 855,000 | Direct |
| Common Stock | Warrant to Purchase Common Stock | $0.50 | 2018-03-16 | 2023-03-16 | 1,039,666 | 1,039,666 | Indirect |
| Common Stock | Option to Purchase Common Stock | $1.10 | 2024-11-04 | 1,200,000 | 1,200,000 | Direct | |
| Common Stock | Warrant to Purchase Common Stock | $1.53 | 2020-12-15 | 2025-12-15 | 2,000,000 | 2,000,000 | Direct |
| Common Stock | Option to Purchase Common Stock | $1.53 | 2025-12-15 | 3,731,350 | 3,731,350 | Direct | |
| Common Stock | Option to Purchase Common Stock | $2.09 | 2026-12-16 | 1,000,000 | 1,000,000 | Direct | |
| Common Stock | Option to Purchase Common Stock | $1.41 | 2027-12-14 | 1,000,000 | 1,000,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2023-01-31 | 855,000 | 855,000 | Direct |
| 2023-03-16 | 1,039,666 | 1,039,666 | Indirect |
| 2024-11-04 | 1,200,000 | 1,200,000 | Direct |
| 2025-12-15 | 2,000,000 | 2,000,000 | Direct |
| 2025-12-15 | 3,731,350 | 3,731,350 | Direct |
| 2026-12-16 | 1,000,000 | 1,000,000 | Direct |
| 2027-12-14 | 1,000,000 | 1,000,000 | Direct |
Footnotes
- Held by Dia Armenta, the Reporting Person's wife.
- Held by Ronald Erickson, the Reporting Person and Dia Armenta, the Reporting Person's wife.
- Held by Juliz Limited Partnership- Family LP.
- Held by J3E2A2Z Limited Partnership.
- Held by Cerillion N4, an entity that is 50% owned by Dia Armenta, the Reporting Person's wife.
- Price subject to adjustment.
- 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).
- Milestone-based Option shares vest upon the Company's successful milestone achievements set forth in two Stock Option Agreements dated 12/15/2020.
- Options vest quarterly over four years. Immediate vesting upon the occurrence of a Change-in-Control.
Billionaire Hedge Funds
