SOBR Safe, Inc. — Director's Dealing 2024

Jan 30, 2024

SEC Form 5 — Annual Statement of Changes in Beneficial Ownership

Issuer: SOBR Safe, Inc. (SOBR)
CIK: 0001425627
Period of Report: 2023-12-31

Reporting Person: Graham Gary John (10% Owner)
Reporting Person: IDTEC, LLC (10% Owner)
Reporting Person: SOBR Safe LLC (10% Owner)
Reporting Person: First Capital Holdings LLC (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-09-23	Common Stock	J	1025829	—	Disposed	11322575	Indirect
2020-09-23	Common Stock	J	1025829	—	Disposed	11322575	Direct
2020-12-15	Common Stock	C	2743169	$1.00	Acquired	11322675	Indirect
2020-12-15	Common Stock	C	2743169	$1.00	Acquired	2743169	Direct
2020-12-30	Common Stock	J	3128896	—	Disposed	11322575	Indirect
2020-12-30	Common Stock	J	3128896	—	Disposed	11322575	Direct
2020-12-31	Common Stock	C	3103028	—	Acquired	11322575	Indirect
2020-12-31	Common Stock	C	3103028	—	Acquired	11322575	Direct
2022-01-20	Common Stock	X	176938	$0.50	Acquired	2711923	Indirect
2022-01-20	Common Stock	X	176938	$0.50	Acquired	2711923	Direct
2022-03-01	Common Stock	J	2000000	—	Disposed	2711923	Indirect
2022-03-01	Common Stock	J	2000000	—	Disposed	2711923	Direct
2022-06-30	Common Stock	J	888750	—	Disposed	2711923	Indirect
2022-06-30	Common Stock	J	888750	—	Disposed	25639	Direct
2023-06-12	Common Stock	C	666667	—	Acquired	2542616	Indirect
2023-06-12	Common Stock	C	666667	—	Acquired	2542616	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-12-15	Series A-1 Preferred Stock	$1.00	C	2743169	Disposed		Common Stock (2743169)	Indirect
2020-12-15	Series A-1 Preferred Stock	$1.00	C	2743169	Disposed		Common Stock (2743169)	Direct
2020-12-31	Convertible Note	$0.50	X	3103028	Disposed		Common Stock (3103028)	Indirect
2020-12-31	Convertible Note	$0.50	X	3103028	Disposed		Common Stock (3103028)	Direct
2022-01-20	Warrant	$0.50	X	176938	Disposed	2025-06-04	Common Stock (320000)	Indirect
2022-01-20	Warrant	$0.50	X	176938	Disposed	2025-06-04	Common Stock (320000)	Direct
2022-03-01	Series B Preferred Stock	$1.84	J	2000000	Acquired		Common Stock (2000000)	Indirect
2022-03-01	Series B Preferred Stock	$1.84	J	2000000	Acquired		Common Stock (2000000)	Direct
2023-04-30	Series B Preferred Stock	$1.84	C	666667	Disposed		Common Stock (666667)	Indirect
2023-04-30	Series B Preferred Stock	$1.84	C	666667	Disposed		Common Stock (666667)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	11322575	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series A-1 Preferred Stock	$1.00		Common Stock (2700000)	2700000	Indirect
Series A-1 Preferred Stock	$1.00		Common Stock (2700000)	2700000	Direct
Convertible Note	$0.50		Common Stock (3103028)	3103028	Indirect
Convertible Note	$0.50		Common Stock (3103028)	3103028	Direct
Warrant	$0.50	2025-06-04	Common Stock (320000)	320000	Indirect
Warrant	$0.50	2025-06-04	Common Stock (320000)	320000	Direct

Footnotes

F1: Issued to IDTEC, LLC pursuant to an Asset Purchase Agreement dated May 6, 2019 (and Amendment No. 1 thereto dated March 9, 2020, together the "APA") between the Issuer and IDTEC, LLC, and related transactions (together with the asset purchase the "Transaction"), under which IDTEC LLC was issued (i) 12,000,000 shares of the Issuer's common stock, (ii) a convertible promissory note ( the "Note") in the principal amount of $1,485,189 with a conversion price of $0.50 per share, and (iii) a warrant (the "Warrant") to purchase up to 320,000 shares of the Issuer's common stock at an exercise price of $0.50 per share.. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of IDTEC, LLC.

F2: Amounts in all rows in this Column 6 pertain to Gary J. Graham as to the total amount of shares reflected at the end of each fiscal year; pertain to IDTEC, LLC, First Capital Holdings, LLC and First Capital Ventures, LLC as to the total number of shares indicated minus 25,316 shares (after the 1:3 reverse stock split effected on April 28, 2022) underlying stock options held of record by Gary J. Graham, individually. Transactions by SOBR SAFE, LLC pertain only to Gary J. Graham and First Capital Holdings, LLC.

F3: Distribution by IDTEC, LLC of an aggregate of 1,025,829 shares of common stock of the Issuer to its members. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of IDTEC, LLC.

F4: Conversion by SOBR SAFE, LLC of 2,700,000 shares of series A-1 preferred stock, plus accrued dividends, to shares of common stock. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of SOBR SAFE, LLC.

F5: Transfer by IDTEC, LLC of an aggregate of 3,128,896 shares of common stock of the Issuer to 24 individuals or entities that had assisted the company. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of IDTEC, LLC.

F6: Conversion by IDTEC, LLC of principal and accrued interest on the Note into 3,103,028 shares of common stock of the Issuer at $0.50 per share. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of IDTEC, LLC.

F7: Exercise by IDTEC, LLC of the Warrant.

F8: Exchange by IDTEC, LLC of 2,000,000 shares of common stock of the Issuer for 2,000,000 shares of preferred stock of the Issuer. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of IDTEC, LLC.

F9: Liquidating distribution by SOBR SAFE LLC to its members with 25,639 shares retained to cover liquidation expenses. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of SOBR SAFE, LLC.

F10: Conversion by First Capital Holdings, LLC, the successor of IDTEC LLC, of 666,667 shares of series B preferred stock of the Issuer into 666,667 shares of common stock of the Issuer. Mr. Gary Graham is the Manager of First Capital Holdings, LLC.

F11: The Issuer effected a 1:3 reverse stock split on April 28, 2022.

F12: The series A-1 preferred stock and the series B preferred stock are convertible for as long as the shares are outstanding. The Note is convertible until maturity.