Small Company Offering and Sale of Securities Without Registration (d)
March 15 2021 - 4:42PM
Edgar (US Regulatory)
o
NoneEntity Type | 0001074828 | VISUALANT INC Visualant, INC STARBERRYS CORP |
x
Corporation
o
Limited Partnership
o
Limited Liability Company
o
General Partnership
o
Business Trust
o
Other |
| Name of Issuer |
KNOW LABS, INC. |
| Jurisdiction of Incorporation/Organization |
| NEVADA |
| |
| Year of Incorporation/Organization |
| |
x
| Over Five Years Ago |
| |
o
| Within Last Five Years (Specify Year) | |
| |
o
| Yet to Be Formed | |
| 2. Principal Place of Business and Contact Information |
| Name of Issuer | |
| KNOW LABS, INC. | |
| Street Address 1 | Street Address 2 |
| 500 UNION STREET | SUITE 810 |
| City | State/Province/Country | ZIP/Postal Code | Phone No. of Issuer |
| SEATTLE | WASHINGTON | 98101 | 206-903-1351 |
| Last Name | First Name | Middle Name |
| Erickson | Ronald | P. |
| Street Address 1 | Street Address 2 |
| 500 UNION STREET | SUITE 810 |
| City | State/Province/Country | ZIP/Postal Code |
| SEATTLE | WASHINGTON | 98101 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Bosua | Phillip | A. |
| Street Address 1 | Street Address 2 |
| 500 UNION STREET | SUITE 810 |
| City | State/Province/Country | ZIP/Postal Code |
| SEATTLE | WASHINGTON | 98101 |
| Relationship: |
x
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Pepper | Jon | |
| Street Address 1 | Street Address 2 |
| 500 UNION STREET | SUITE 810 |
| City | State/Province/Country | ZIP/Postal Code |
| SEATTLE | WASHINGTON | 98101 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Takesako | Ichiro | |
| Street Address 1 | Street Address 2 |
| 500 UNION STREET | SUITE 810 |
| City | State/Province/Country | ZIP/Postal Code |
| SEATTLE | WASHINGTON | 98101 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Owens | William | A. |
| Street Address 1 | Street Address 2 |
| 500 UNION STREET | SUITE 810 |
| City | State/Province/Country | ZIP/Postal Code |
| SEATTLE | WASHINGTON | 98101 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
|
o
| Agriculture | | Health Care |
o
| Retailing |
| | Banking & Financial Services | |
o
| Biotechnology |
o
| Restaurants |
| |
o
| Commercial Banking | |
o
| Health Insurance | | Technology |
| |
o
| Insurance | |
o
| Hospitals & Physicians | |
o
| Computers |
| |
o
| Investing | |
o
| Pharmaceuticals | |
o
| Telecommunications |
| |
o
| Investment Banking | |
o
| Other Health Care | |
x
| Other Technology |
| |
o
| Pooled Investment Fund
| | | | | Travel |
| |
o
| Other Banking & Financial Services |
o
| Manufacturing | |
o
| Airlines & Airports |
| | Real Estate | |
o
| Lodging & Conventions |
| |
o
| Commercial | |
o
| Tourism & Travel Services |
| |
o
| Construction | |
o
| Other Travel |
| |
o
| REITS & Finance |
o
| Other |
| |
o
| Residential | |
| |
o
| Other Real Estate | |
|
o
| Business Services | |
| | Energy | |
| |
o
| Coal Mining | |
| |
o
| Electric Utilities | |
| |
o
| Energy Conservation | |
| |
o
| Environmental Services | |
| |
o
| Oil & Gas | |
| |
o
| Other Energy | |
| Revenue Range | Aggregate Net Asset Value Range |
|
o
| No Revenues |
o
| No Aggregate Net Asset Value |
|
o
| $1 - $1,000,000 |
o
| $1 - $5,000,000 |
|
o
| $1,000,001 - $5,000,000 |
o
| $5,000,001 - $25,000,000 |
|
o
| $5,000,001 - $25,000,000 |
o
| $25,000,001 - $50,000,000 |
|
o
| $25,000,001 - $100,000,000 |
o
| $50,000,001 - $100,000,000 |
|
o
| Over $100,000,000 |
o
| Over $100,000,000 |
|
x
| Decline to Disclose |
o
| Decline to Disclose |
|
o
| Not Applicable |
o
| Not Applicable |
| 6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply) |
|
o
| Rule 504(b)(1) (not (i), (ii) or (iii)) |
o
| Rule 505 |
|
o
| Rule 504 (b)(1)(i) |
x
| Rule 506(b) |
|
o
| Rule 504 (b)(1)(ii) |
o
| Rule 506(c) |
|
o
| Rule 504 (b)(1)(iii) |
o
| Securities Act Section 4(a)(5) |
| |
o
| Investment Company Act Section 3(c) |
|
x
| New Notice | Date of First Sale | 2021-03-15 |
o
| First Sale Yet to Occur |
| Does the Issuer intend this offering to last more than one year? |
o
| Yes |
x
| No |
| 9. Type(s) of Securities Offered (select all that apply) |
|
o
| Pooled Investment Fund Interests |
o
| Equity |
|
o
| Tenant-in-Common Securities |
x
| Debt |
|
o
| Mineral Property Securities |
x
| Option, Warrant or Other Right to Acquire Another Security |
|
o
| Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
o
| Other (describe) |
| | |
| 10. Business Combination Transaction |
| Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
o
| Yes |
x
| No |
| |
| Clarification of Response (if Necessary) | |
| |
| Minimum investment accepted from any outside investor | $ 0 USD |
| Recipient | Recipient CRD Number |
o
| None |
| Boustead Securities LLC | 141391 |
| (Associated) Broker or Dealer |
x
| None | (Associated) Broker or Dealer CRD Number |
x
| None |
| | |
| Street Address 1 | Street Address 2 |
| 6 VENTURE | SUITE 265 |
| City | State/Province/Country | ZIP/Postal Code |
| IRVINE | CALIFORNIA | 92618 |
| State(s) of Solicitation |
o
| All States |
o
| Foreign/Non-US |
ARIZONA
CALIFORNIA
COLORADO
FLORIDA
GEORGIA
HAWAII
ILLINOIS
KENTUCKY
MAINE
MASSACHUSETTS
MICHIGAN
MINNESOTA
NEW HAMPSHIRE
NEW JERSEY
NEW YORK
OREGON
PENNSYLVANIA
TENNESSEE
TEXAS
UTAH
VIRGINIA
WASHINGTON
WYOMING
|
| 13. Offering and Sales Amounts |
| Total Offering Amount | $ 14279000 USD |
o
Indefinite |
| Total Amount Sold | $ 14279000 USD | |
| Total Remaining to be Sold | $ 0 USD |
o
Indefinite |
| |
| Clarification of Response (if Necessary) |
| March 15, 2021 Company closed private placement for aggregate gross proceeds of $14,279,000 in exchange for issuing Subordinated Convertible Notes & Warrants to 87 accredited investors pursuant to Securities Purchase Agreements & Common Stock Warrants. |
|
o
| Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering
| |
| | Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: | 87 |
| 15. Sales Commissions & Finders’ Fees Expenses |
Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
|
| Sales Commissions | $ 661720 USD |
o
| Estimate |
| Finders' Fees | $ 0 USD |
o
| Estimate |
| |
| Clarification of Response (if Necessary) |
| For the Notes and Warrants, placement agent received a cash fee of $661,720 and warrants to purchase 496,290 shares of the Company's common stock. |
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
|
| | $ 0 USD |
o
Know Labs (QB) (USOTC:KNWN) Historical Stock Chart From Mar 2024 to Apr 2024
Know Labs (QB) (USOTC:KNWN) Historical Stock Chart From Apr 2023 to Apr 2024
See More Message Board Posts
It looks like you are not logged in. Click the button below to log in and keep track of your recent history.
|