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USBC, Inc. — Director's Dealing 2023
Oct 11, 2023
33069_dirs_2023-10-11_e1f730c3-547b-418b-9833-685c4100a7e2.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: KNOW LABS, INC. (KNWN)
CIK: 0001074828
Period of Report: 2023-10-10
Reporting Person: ERICKSON RONALD P (Director, CEO, Chairman)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2023-10-10 | Option to Purchase Common Stock | $0.25 | A | 4640844 | Acquired | 2028-10-10 | Common Stock (4640844) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 545934 | Direct |
| Common Stock | 8334 | Indirect |
| Common Stock | 1467 | Indirect |
| Common Stock | 20335 | Indirect |
| Common Stock | 910001 | Indirect |
| Common Stock | 2014 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Warrant to Purchase Common Stock | $0.50 | 2023-01-31 | Common Stock (855000) | 855000 | Direct |
| Warrant to Purchase Common Stock | $0.50 | 2023-03-16 | Common Stock (1039666) | 1039666 | Indirect |
| Option to Purchase Common Stock | $1.10 | 2024-11-04 | Common Stock (1200000) | 1200000 | Direct |
| Warrant to Purchase Common Stock | $1.53 | 2025-12-15 | Common Stock (2000000) | 2000000 | Direct |
| Option to Purchase Common Stock | $1.53 | 2025-12-15 | Common Stock (3731350) | 3731350 | Direct |
| Option to Purchase Common Stock | $2.09 | 2026-12-16 | Common Stock (1000000) | 1000000 | Direct |
| Option to Purchase Common Stock | $1.41 | 2027-12-14 | Common Stock (1000000) | 1000000 | Direct |
Footnotes
F1: Held by Dia Armenta, the Reporting Person's wife.
F2: Held by Ronald Erickson, the Reporting Person and Dia Armenta, the Reporting Person's wife.
F3: Held by Juliz Limited Partnership- Family LP.
F4: Held by J3E2A2Z Limited Partnership.
F5: Held by Cerillion N4, an entity that is 50% owned by Dia Armenta, the Reporting Person's wife.
F6: Price subject to adjustment.
F7: 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).
F8: Milestone-based Option shares vest upon the Company's successful milestone achievements set forth in two Stock Option Agreements dated 12/15/2020.
F9: Options vest quarterly over four years. Immediate vesting upon the occurrence of a Change-in-Control.