HARKNESS STEPHANIE

PrivateCIK: 1861512

Location

SALINAS, CA

HARKNESS STEPHANIE exercised options at LOWELL FARMS INC.

Option exercise — a mechanical event triggered by vesting or expiry. Not a discretionary conviction trade.

M · 1 exercise

HARKNESS STEPHANIE

Filed: 1/4/2022ACC: 0001654954-22-000171

InsiderHARKNESS STEPHANIECIK 1861512

→

IssuerLOWELL FARMS INC.CIK 1838128

Director

Since May 2021

0.00

Net shares

Net seller

$0.00

Total acquired

0

Open market trades

0B · 0S

2

Total transactions

75K acquired · 75K disposed

Non-Derivative Transactions1

Subordinate Voting Shares

Direct

M · Option Exercise

Shares

+75K

Price / share

—

Trade value

—

% of position

125.0%

12/31/2021

60K→135K

Total

Net shares

+75K

Net value

$0.00

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Subordinate Voting Shares Direct	12/31/2021	M · Option Exercise	+75K	—	—	125.0%	60K	135K
Total			+75K		$0.00

Derivative Transactions1

Restricted Stock Units

Direct

M · Option Exercise

Converts to

Subordinate Voting Shares

75K shares

Shares

−75K

Strike price

Held after

0.00

Exercisable

—

12/31/2021

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Restricted Stock Units Direct	Subordinate Voting Shares75K shares	12/31/2021	M · Option Exercise	−75K		—	0.00

Non-Derivative Holdings (Post-Transaction)0

No non-derivative holdings reported

Derivative Holdings (Post-Transaction)7

Class B Common Shares

Direct

Underlying security

Subordinate Voting Shares

Underlying shares

811.10K

Shares owned

811.10K

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

22.50K

Exercise price

1.0174

Expiration

—

Exercise window

—

Warrants (right to buy Class B Common Shares)

Direct

Underlying security

Subordinate Voting Shares

Underlying shares

155K

Shares owned

155K

Exercise price

2.0348

Expiration

—

Exercise window

—

Class B Common Shares

Indirect

Underlying security

Subordinate Voting Shares

Underlying shares

190.23K

Shares owned

190.23K

Exercise price

Expiration

—

Exercise window

—

Stock options (right to buy)

Direct

Underlying security

Subordinate Voting Shares

Underlying shares

10K

Shares owned

10K

Exercise price

2.0348

Expiration

—

Exercise window

—

Class B Common Shares

Indirect

Underlying security

Subordinate Voting Shares

Underlying shares

482.67K

Shares owned

482.67K

Exercise price

Expiration

—

Exercise window

—

Warrants (right to buy Class B Common Shares)

Indirect

Underlying security

Subordinate Voting Shares

Underlying shares

245.72K

Shares owned

245.72K

Exercise price

2.0348

Expiration

—

Exercise window

—

Total

Underlying

1.92M

Owned

1.92M

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Class B Common Shares Direct	Subordinate Voting Shares		—	—	811.10K	811.10K
Warrants (right to buy Class B Common Shares) Direct	Subordinate Voting Shares	1.0174	—	—	22.50K	22.50K
Warrants (right to buy Class B Common Shares) Direct	Subordinate Voting Shares	2.0348	—	—	155K	155K
Class B Common Shares Indirect	Subordinate Voting Shares		—	—	190.23K	190.23K
Stock options (right to buy) Direct	Subordinate Voting Shares	2.0348	—	—	10K	10K
Class B Common Shares Indirect	Subordinate Voting Shares		—	—	482.67K	482.67K
Warrants (right to buy Class B Common Shares) Indirect	Subordinate Voting Shares	2.0348	—	—	245.72K	245.72K
Total					1.92M	1.92M

HARKNESS STEPHANIE — Insider Transaction (Form 4) Filed Jan 4, 2022 | Finecho