0001161697-23-000551.txt : 20231018
0001161697-23-000551.hdr.sgml : 20231018
20231018080713
ACCESSION NUMBER: 0001161697-23-000551
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231010
FILED AS OF DATE: 20231018
DATE AS OF CHANGE: 20231018
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ERICKSON RONALD P
CENTRAL INDEX KEY: 0001140319
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37479
FILM NUMBER: 231330950
MAIL ADDRESS:
STREET 1: 9437 NE CORAL COURT
CITY: BAINBRIDGE ISLAND
STATE: WA
ZIP: 98110
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: KNOW LABS, INC.
CENTRAL INDEX KEY: 0001074828
STANDARD INDUSTRIAL CLASSIFICATION: MEASURING & CONTROLLING DEVICES, NEC [3829]
IRS NUMBER: 900273142
STATE OF INCORPORATION: NV
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: 500 UNION STREET
STREET 2: SUITE 810
CITY: SEATTLE
STATE: WA
ZIP: 98101
BUSINESS PHONE: 206-903-1351
MAIL ADDRESS:
STREET 1: 500 UNION STREET
STREET 2: SUITE 810
CITY: SEATTLE
STATE: WA
ZIP: 98101
FORMER COMPANY:
FORMER CONFORMED NAME: VISUALANT INC
DATE OF NAME CHANGE: 20070220
FORMER COMPANY:
FORMER CONFORMED NAME: Visualant, INC
DATE OF NAME CHANGE: 20050106
FORMER COMPANY:
FORMER CONFORMED NAME: STARBERRYS CORP
DATE OF NAME CHANGE: 20020918
4/A
1
form_4.xml
FORM 4/A AMENDMENT NO. 2 FOR 10-10-2023
X0508
4/A
2023-10-10
2023-10-11
0
0001074828
KNOW LABS, INC.
KNW
0001140319
ERICKSON RONALD P
500 UNION STREET
SUITE 810
SEATTLE
WA
98101
1
1
0
1
CEO
Chairman
0
Common Stock
1488085
D
Convertible Debenture
0.25
2018-01-31
2024-09-30
Common Stock
2079332
2079332
I
.
Convertible Debenture
0.25
2018-01-31
2024-09-30
Common Stock
2656932
2656932
I
.
Warrant to Purchase Common Stock
0.25
2018-01-31
2024-01-30
Common Stock
855000
855000
D
Warrant to Purchase Common Stock
0.25
2018-01-31
2024-01-30
Common Stock
1039666
1039666
I
.
Option to Purchase Common Stock
1.10
2019-11-04
2024-11-04
Common Stock
1200000
1200000
D
Warrant to Purchase Common Stock
1.53
2020-12-15
2025-12-15
Common Stock
2000000
2000000
D
Option to Purchase Common Stock
1.53
2020-12-15
2025-12-15
Common Stock
3731350
3731350
D
Option to Purchase Common Stock
2.09
2021-12-16
2026-12-16
Common Stock
1000000
1000000
D
Option to Purchase Common Stock
1.41
2022-12-14
2027-12-14
Common Stock
1000000
1000000
D
Option to Purchase Common Stock
0.25
2023-10-10
4
A
0
4640844
0
A
2023-10-10
2028-10-10
Common Stock
4640844
4640844
D
Convertible Debenture for $519,833 that is convertible at $0.25 per share by 09/30/2024.
Convertible Debenture for $669,223 that is convertible at $0.25 per share by 09/30/2024.
Price subject to adjustment.
Held by J3E2A2Z Limited Partnership, an entity affiliated with Ronald P. Erickson.
Option shares vested 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.
This Form 4 Amendment No. 2 is filed to correctly include holding of the first two line items of Convertible Debenture in Table II above, and ownership form of holdings in Table I above.
/s/ Ronald P. Erickson
2023-10-17