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