HARKNESS STEPHANIE

PrivateCIK: 1861512

Location

SALINAS, CA

HARKNESS STEPHANIE enters LOWELL FARMS INC. with 60K shares plus derivative instruments

Holding both equity and derivatives at entry signals strong long-term conviction in the company.

Direct Derivatives

HARKNESS STEPHANIE

Filed: 5/10/2021ACC: 0001654954-21-005374

InsiderHARKNESS STEPHANIECIK 1861512

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IssuerLOWELL FARMS INC.CIK 1838128

Director

Since May 2021

60K

Baseline shares

100% direct

60K

Direct ownership

1 position

1.99M

Derivative underlying

8 instruments

1

Security positions

All direct

Non-Derivative Holdings1

Subordinate Voting Shares

Direct

Shares owned60K

Total

60K direct60K

Security Title	Shares Owned	Ownership Type
Subordinate Voting Shares	60K	Direct
Total	60K	60K direct

Derivative Holdings8

Class B Common Shares

Indirect

Underlying security

Subordinate Voting Shares

Underlying shares

482.67K

Shares owned

N/A

Exercise price

Expiration

—

Exercise window

—

Stock options (right to buy)

Direct

Underlying security

Subordinate Voting Shares

Underlying shares

10K

Shares owned

N/A

Exercise price

2.0348

Expiration

—

Exercise window

—

Warrants (right to buy Class B Common Shares)

Direct

Underlying security

Subordinate Voting Shares

Underlying shares

155K

Shares owned

N/A

Exercise price

2.0348

Expiration

—

Exercise window

—

Class B Common Shares

Direct

Underlying security

Subordinate Voting Shares

Underlying shares

811.10K

Shares owned

N/A

Exercise price

Expiration

—

Exercise window

—

Class B Common Shares

Indirect

Underlying security

Subordinate Voting Shares

Underlying shares

190.23K

Shares owned

N/A

Exercise price

Expiration

—

Exercise window

—

Restricted Stock Units

Direct

Underlying security

Subordinate Voting Shares

Underlying shares

75K

Shares owned

N/A

Exercise price

Expiration

—

Exercise window

—

Warrants (right to buy Class B Common Shares)

Direct

Underlying security

Subordinate Voting Shares

Underlying shares

22.50K

Shares owned

N/A

Exercise price

1.0174

Expiration

—

Exercise window

—

Warrants (right to buy Class B Common Shares)

Indirect

Underlying security

Subordinate Voting Shares

Underlying shares

245.72K

Shares owned

N/A

Exercise price

2.0348

Expiration

—

Exercise window

—

Total

Underlying

1.99M

Owned

0.00

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Class B Common Shares Indirect	Subordinate Voting Shares		—	—	482.67K	N/A
Stock options (right to buy) Direct	Subordinate Voting Shares	2.0348	—	—	10K	N/A
Warrants (right to buy Class B Common Shares) Direct	Subordinate Voting Shares	2.0348	—	—	155K	N/A
Class B Common Shares Direct	Subordinate Voting Shares		—	—	811.10K	N/A
Class B Common Shares Indirect	Subordinate Voting Shares		—	—	190.23K	N/A
Restricted Stock Units Direct	Subordinate Voting Shares		—	—	75K	N/A
Warrants (right to buy Class B Common Shares) Direct	Subordinate Voting Shares	1.0174	—	—	22.50K	N/A
Warrants (right to buy Class B Common Shares) Indirect	Subordinate Voting Shares	2.0348	—	—	245.72K	N/A
Total					1.99M	0.00

HARKNESS STEPHANIE — Initial Ownership Disclosure (Form 3) Filed May 10, 2021 | Finecho