Sec Form 4 Filing - Graham Gary John @ SOBR Safe, Inc. - 2020-12-07

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Graham Gary John
2. Issuer Name and Ticker or Trading Symbol
SOBR Safe, Inc. [ SOBR]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
6400 S. FIDDLERS GREEN CIRCLE, SUITE 525
3. Date of Earliest Transaction (MM/DD/YY)
12/07/2020
(Street)
GREENWOOD VILLAGE, CO80111
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 12/07/2020 P 3,103,028 A $ 1,551,514 ( 1 ) 15,103,028 I IDTEC, LLC
Common Stock 12/15/2020 P 2,743,169 A 17,846,197 I SOBR SAFE, LLC
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Convertible Promissory Note $ 0.5 12/07/2020 C 0 ( 3 ) 06/05/2020 ( 4 ) Common Stock 3,103,028 $ 0 0 I IDTEC, LLC
8% Series A-1 Preferred Stock $ 1 12/15/2020 C 0 ( 5 ) 12/12/2019 12/22/2029 Common Stock 2,743,169 ( 6 ) 0 I SOBR SAFE, LLC
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Graham Gary John
6400 S. FIDDLERS GREEN CIRCLE
SUITE 525
GREENWOOD VILLAGE, CO80111
X
Signatures
/s/ Gary Graham 12/31/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Shares were issued to IDTEC, LLC upon conversion of an aggregate of $1,551,514 in principal and interest owed to IDTEC, LLC under a convertible promissory note. The Reporting Person is the Manager of a limited liability company that is the Manager of IDTEC, LLC.
( 2 )Shares were issued to SOBR Safe, LLC upon the conversion of the Issuer's 8% Series A-1 Convertible Preferred Stock owned by SOBR Safe, LLC, plus accrued dividends owed through the date of conversion. The Reporting Person is the Manager of a limited liability company that is the Manager of SOBR Safe, LLC.
( 3 )IDTEC, LLC converted the principal and interest owed to it under that certain SOBR Safe, Inc. Convertible Promissory Note dated June 6, 2020 into 3,103,028 shares of the Issuer's common stock. The Reporting Person is the Manager of a limited liability company that is the Manager of IDTEC, LLC.
( 4 )The promissory note did not have an expiration date.
( 5 )SOBR Safe, LLC converted its shares of 8% Series A-1 Convertible Preferred Stock, and accrued dividends, into 2,743,169 shares of the Issuer's common stock. The Reporting Person is the Manager of a limited liability company that is the Manager of SOBR Safe, LLC.
( 6 )SOBR Safe, LLC acquired the 8% Series A-1 Preferred Stock in exchange for $2,700,000.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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