SOBR Safe, Inc. — Director's Dealing 2022

Jun 13, 2022

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: SOBR Safe, Inc. (SOBR)
CIK: 0001425627
Period of Report: 2022-01-11

Reporting Person: Wenzel Gerard (CFO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2022-05-18	Common Stock	J	11765	$4	Acquired	11765	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2022-05-18	Common Stock Warrants	$4.25	J	23530	Acquired	2027-05-18	Common Stock (23530)	Direct
2022-01-11	Restricted Stock Units	$0	A	16667	Acquired		Common Stock (16667)	Direct
2022-01-11	Stock Options	$8.25	A	66667	Acquired	2027-01-11	Common Stock (66667)	Direct

Footnotes

F1: Mr. Wenzel acquired 11,765 Units for $50,000 in the Issuer's recent $10 million firm underwritten public offering, with each Unit consisting of one share of the Issuer's common stock and two warrants, each to purchase one share of the Issuer's common stock at $4.25. The price per Unit was $4.25, with $4.00 of the Unit price attributed to the share of common stock and $0.125 of the Unit price attributed to each warrant.

F2: Adjusted for 1-for-3 reverse stock split of Issuer's common stock effected April 28, 2022.

F3: The RSUs vest on the earlier to occur of 180 days after the Company uplists to Nasdaq or January 1, 2023.

F4: The RSUs don't have an expiration date, but will terminate if Mr. Wenzel is not in continuing service with the Issuer at the time of vesting.

F5: Issued to Mr. Wenzel under the terms of his Employment Agreement with the Issuer.

F6: The stock options vest as to 8,334 shares each quarter after the grant date for eight (8) equal quarterly installments so long as Mr. Wenzel is in continuous service with the Issuer.