0001079973-24-000149.txt : 20240130
0001079973-24-000149.hdr.sgml : 20240130
20240130100758
ACCESSION NUMBER: 0001079973-24-000149
CONFORMED SUBMISSION TYPE: 5
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231231
FILED AS OF DATE: 20240130
DATE AS OF CHANGE: 20240130
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Graham Gary John
CENTRAL INDEX KEY: 0001794353
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 5
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-41396
FILM NUMBER: 24576227
MAIL ADDRESS:
STREET 1: 6400 S. FIDDLERS GREEN CIRCLE
STREET 2: SUITE 1400
CITY: GREENWOOD VILLAGE
STATE: CO
ZIP: 80111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: First Capital Holdings LLC
CENTRAL INDEX KEY: 0001720331
ORGANIZATION NAME:
STATE OF INCORPORATION: CO
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 5
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-41396
FILM NUMBER: 24576224
BUSINESS ADDRESS:
STREET 1: 6400 S. FIDDLERS GREEN CIRCLE
STREET 2: STE 1400
CITY: GREENWOOD VILLAGE
STATE: CO
ZIP: 80111
BUSINESS PHONE: 3039037569
MAIL ADDRESS:
STREET 1: 6400 S. FIDDLERS GREEN CIRCLE
STREET 2: STE 1400
CITY: GREENWOOD VILLAGE
STATE: CO
ZIP: 80111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: IDTEC, LLC
CENTRAL INDEX KEY: 0001816087
ORGANIZATION NAME:
STATE OF INCORPORATION: CO
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 5
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-41396
FILM NUMBER: 24576226
BUSINESS ADDRESS:
STREET 1: 6400 S. FIDDLERS GREEN CIRCLE
STREET 2: SUITE 1400
CITY: GREENWOOD VILLAGE
STATE: CO
ZIP: 80111
BUSINESS PHONE: 303-903-7569
MAIL ADDRESS:
STREET 1: 6400 S. FIDDLERS GREEN CIRCLE
STREET 2: SUITE 1400
CITY: GREENWOOD VILLAGE
STATE: CO
ZIP: 80111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SOBR Safe LLC
CENTRAL INDEX KEY: 0001798461
ORGANIZATION NAME:
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 5
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-41396
FILM NUMBER: 24576225
BUSINESS ADDRESS:
STREET 1: 6400 S. FIDDLERS GREEN CIRCLE STE. 1400
CITY: GREENWOOD VILLAGE
STATE: CO
ZIP: 80111
BUSINESS PHONE: 303-903-7569
MAIL ADDRESS:
STREET 1: 6400 S. FIDDLERS GREEN CIRCLE STE. 1400
CITY: GREENWOOD VILLAGE
STATE: CO
ZIP: 80111
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SOBR Safe, Inc.
CENTRAL INDEX KEY: 0001425627
STANDARD INDUSTRIAL CLASSIFICATION: PERIODICALS: PUBLISHING OR PUBLISHING AND PRINTING [2721]
ORGANIZATION NAME: 04 Manufacturing
IRS NUMBER: 260731818
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 6400 S. FIDDLERS GREEN CIRCLE
STREET 2: SUITE 1400
CITY: GREENWOOD VILLAGE
STATE: CO
ZIP: 80111
BUSINESS PHONE: 844-762-7723
MAIL ADDRESS:
STREET 1: 6400 S. FIDDLERS GREEN CIRCLE
STREET 2: SUITE 1400
CITY: GREENWOOD VILLAGE
STATE: CO
ZIP: 80111
FORMER COMPANY:
FORMER CONFORMED NAME: TransBiotec, Inc.
DATE OF NAME CHANGE: 20120302
FORMER COMPANY:
FORMER CONFORMED NAME: IMAGINE MEDIA LTD
DATE OF NAME CHANGE: 20080130
5
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ownership.xml
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5
2023-12-31
0
1
1
0001425627
SOBR Safe, Inc.
SOBR
0001794353
Graham Gary John
6400 S. FIDDLERS GREEN CIRCLE, STE 1400
GREENWOOD VILLAGE
CO
80111
0
0
1
0
0001816087
IDTEC, LLC
6400 S. FIDDLERS GREEN CIRCLE, STE 1400
GREENWOOD VILLAGE
CO
80111
0
0
1
0
0001798461
SOBR Safe LLC
6400 S. FIDDLERS GREEN CIRCLE STE. 1400
GREENWOOD VILLAGE
CO
80111
0
0
1
0
0001720331
First Capital Holdings LLC
6400 S. FIDDLERS GREEN CIRLCE, STE 1400
GREENWOOD VILLAGE
CO
80111
0
0
1
0
0
Common Stock
3
11322575
D
Common Stock
2020-09-23
4
J
0
L
1025829
D
11322575
I
By IDTEC, LLC
Common Stock
2020-09-23
4
J
0
L
1025829
D
11322575
D
Common Stock
2020-12-15
4
C
0
L
2743169
1.00
A
11322675
I
By SOBR SAFE, LLC
Common Stock
2020-12-15
4
C
0
L
2743169
1.00
A
2743169
D
Common Stock
2020-12-30
4
J
0
L
3128896
D
11322575
I
By IDTEC, LLC
Common Stock
2020-12-30
4
J
0
L
3128896
D
11322575
D
Common Stock
2020-12-31
4
C
0
L
3103028
A
11322575
I
By IDTEC, LLC
Common Stock
2020-12-31
4
C
0
L
3103028
A
11322575
D
Common Stock
2022-01-20
4
X
0
L
176938
0.50
A
2711923
I
By IDTEC, LLC
Common Stock
2022-01-20
4
X
0
L
176938
0.50
A
2711923
D
Common Stock
2022-03-01
4
J
0
L
2000000
D
2711923
I
By IDTEC, LLC
Common Stock
2022-03-01
4
J
0
L
2000000
D
2711923
D
Common Stock
2022-06-30
4
J
0
L
888750
D
2711923
I
By SOBR SAFE, LLC
Common Stock
2022-06-30
4
J
0
L
888750
D
25639
D
Common Stock
2023-06-12
4
C
0
L
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A
2542616
I
By First Capital Holdings, LLC
Common Stock
2023-06-12
4
C
0
L
666667
A
2542616
D
Series A-1 Preferred Stock
1.00
3
2019-12-12
Common Stock
2700000
2700000
I
By SOBR SAFE, LLC
Series A-1 Preferred Stock
1.00
3
2019-12-12
Common Stock
2700000
2700000
D
Convertible Note
0.50
3
2020-06-05
Common Stock
3103028
3103028
I
By IDTEC, LLC
Convertible Note
0.50
3
2020-06-05
Common Stock
3103028
3103028
D
Warrant
0.50
3
2020-06-05
2025-06-04
Common Stock
320000
320000
I
By IDTEC, LLC
Warrant
0.50
3
2020-06-05
2025-06-04
Common Stock
320000
320000
D
Series A-1 Preferred Stock
1.00
2020-12-15
4
C
0
L
2743169
1.00
D
2019-12-12
Common Stock
2743169
0
I
By SOBR SAFE, LLC
Series A-1 Preferred Stock
1.00
2020-12-15
4
C
0
L
2743169
1.00
D
2019-12-12
Common Stock
2743169
0
D
Convertible Note
0.50
2020-12-31
4
X
0
L
3103028
D
2020-06-05
Common Stock
3103028
0
I
By IDTEC, LLC
Convertible Note
0.50
2020-12-31
4
X
0
L
3103028
D
2020-06-05
Common Stock
3103028
0
D
Warrant
0.50
2022-01-20
4
X
0
L
176938
D
2020-06-05
2025-06-04
Common Stock
320000
143062
I
By IDTEC, LLC
Warrant
0.50
2022-01-20
4
X
0
L
176938
D
2020-06-05
2025-06-04
Common Stock
320000
143062
D
Series B Preferred Stock
1.84
2022-03-01
4
J
0
L
2000000
A
2022-09-01
Common Stock
2000000
2000000
I
By IDTEC, LLC
Series B Preferred Stock
1.84
2022-03-01
4
J
0
L
2000000
A
2022-09-01
Common Stock
2000000
2000000
D
Series B Preferred Stock
1.84
2023-04-30
4
C
0
L
666667
D
2022-09-01
Common Stock
666667
0
I
By First Capital Holdings, LLC
Series B Preferred Stock
1.84
2023-04-30
4
C
0
L
666667
D
2022-09-01
Common Stock
666667
0
D
Issued to IDTEC, LLC pursuant to an Asset Purchase Agreement dated May 6, 2019 (and Amendment No. 1 thereto dated March 9, 2020, together the "APA") between the Issuer and IDTEC, LLC, and related transactions (together with the asset purchase the "Transaction"), under which IDTEC LLC was issued (i) 12,000,000 shares of the Issuer's common stock, (ii) a convertible promissory note ( the "Note") in the principal amount of $1,485,189 with a conversion price of $0.50 per share, and (iii) a warrant (the "Warrant") to purchase up to 320,000 shares of the Issuer's common stock at an exercise price of $0.50 per share.. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of IDTEC, LLC.
Amounts in all rows in this Column 6 pertain to Gary J. Graham as to the total amount of shares reflected at the end of each fiscal year; pertain to IDTEC, LLC, First Capital Holdings, LLC and First Capital Ventures, LLC as to the total number of shares indicated minus 25,316 shares (after the 1:3 reverse stock split effected on April 28, 2022) underlying stock options held of record by Gary J. Graham, individually. Transactions by SOBR SAFE, LLC pertain only to Gary J. Graham and First Capital Holdings, LLC.
Distribution by IDTEC, LLC of an aggregate of 1,025,829 shares of common stock of the Issuer to its members. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of IDTEC, LLC.
Conversion by SOBR SAFE, LLC of 2,700,000 shares of series A-1 preferred stock, plus accrued dividends, to shares of common stock. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of SOBR SAFE, LLC.
Transfer by IDTEC, LLC of an aggregate of 3,128,896 shares of common stock of the Issuer to 24 individuals or entities that had assisted the company. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of IDTEC, LLC.
Conversion by IDTEC, LLC of principal and accrued interest on the Note into 3,103,028 shares of common stock of the Issuer at $0.50 per share. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of IDTEC, LLC.
Exercise by IDTEC, LLC of the Warrant.
Exchange by IDTEC, LLC of 2,000,000 shares of common stock of the Issuer for 2,000,000 shares of preferred stock of the Issuer. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of IDTEC, LLC.
Liquidating distribution by SOBR SAFE LLC to its members with 25,639 shares retained to cover liquidation expenses. Mr. Gary Graham was the Manager of a limited liability company that was the Managing Member of SOBR SAFE, LLC.
Conversion by First Capital Holdings, LLC, the successor of IDTEC LLC, of 666,667 shares of series B preferred stock of the Issuer into 666,667 shares of common stock of the Issuer. Mr. Gary Graham is the Manager of First Capital Holdings, LLC.
The Issuer effected a 1:3 reverse stock split on April 28, 2022.
The series A-1 preferred stock and the series B preferred stock are convertible for as long as the shares are outstanding. The Note is convertible until maturity.
/s/ Gary J. Graham
2024-01-30
FIRST CAPITAL HOLDINGS LLC: /s/ Gary J. Graham, Manager
2024-01-30
IDTEC, LLC - BY: FIRST CAPITAL VENTURES, LLC, Managing Member: /s/ Gary J. Graham, Manager
2024-01-30
SOBR SAFE, LLC - BY FIRST CAPITAL VENTURES, LLC. Managing Member: /s/ Gary J. Graham, Manager
2024-01-30