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USBC, Inc. — Director's Dealing 2019
Dec 23, 2019
33069_dirs_2019-12-23_f78c293e-3658-4698-8e36-5690a4c409ee.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: 2019-12-19
Reporting Person: ERICKSON RONALD P (Director, Chairman)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-11-04 | Option to Purchase Common Stock | $1.10 | A | 1200000 | Acquired | 2024-11-04 | Common Stock (1200000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 420934 | Direct |
| Common Stock | 3334 | 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 |
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).
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