SOBR Safe Inc
For the period ended Dec 31, 2023. Filed Apr 1, 2024.
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A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.
FY2023 · Filed Apr 1, 2024
SOBR$0.20-48.0%Stored close · as of Sep 15, 2026
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ITEM 15. –EXHIBITS, FINANCIAL STATEMENT SCHEDULES
(a)(1) Financial Statements
For a list of financial statements and supplementary data filed as part of this Annual Report, see the Index to Financial Statements beginning at page F-1 of this Annual Report.
(a)(2) Financial Statement Schedules
We do not have any financial statement schedules required to be supplied under this Item.
(a)(3) Exhibits
Refer to (b) below.
(b) Exhibits
| Exhibit · Reference · Filed or Furnished | ||||
|---|---|---|---|---|
| Number · Exhibit Description · Form · Exhibit · Filing Date · Herewith | ||||
| 3.1 | Articles of Incorporation of Imagine Media, Ltd. | SB-2 | 3.1 | 01/31/2008 |
| 3.2 | Articles of Amendment to Articles of Incorporation to TransBiotec, Inc. | S-1 | 3.2 | 11/06/2012 |
| 3.3 | Certificate of Amendment to Certificate of Incorporation filed with the State of Delaware on May 25, 2017 | 10-K | 3.3 | 02/06/2019 |
| 3.4 | Amended and Restated Bylaws of SOBR Safe, Inc. | 8-K | 3.1 | 11/19/2019 |
| 3.5 | Certificate of Amendment to Certificate of Incorporation of TransBiotec, Inc. changing name to SOBR Safe, Inc., effecting 1-for-33.26 reverse stock split and decreasing authorized common stock to 100M shares | 8-K | 3.1 | 06/11/2020 |
| 4.1 | Form of Representative’s Warrant between SOBR Safe, Inc. and Aegis Capital Corp. | 8-K | 4.1 | 05/19/2022 |
| 4.2 | Warrant Agency Agreement between SOBR Safe, Inc. and Equiniti Trust Company dated May 17, 2022 | 8-K | 4.2 | 05/19/2022 |
| 4.3 | Form of Unit Warrant, issued May 18, 2022 | 8-K | 4.3 | 05/19/2022 |
| 10.1 | TransBiotec, Inc. 2019 Equity Incentive Plan | 8-K | 10.1 | 11/19/2019 |
| 10.2* | Employment Agreement with David Gandini dated October 25, 2019 | 8-K | 10.3 | 11/19/2019 |
| 10.3 | Amendment No. 1 to Asset Purchase Agreement dated March 23, 2020 by and between IDTEC, LLC and TransBiotec, Inc. | 10-Q | 10.12 | 05/26/2020 |
| 10.4 | Form of Convertible Promissory Note Issued to IDTEC, LLC at Close of Asset Purchase Transaction | 8-K | 10.3 | 06/11/2020 |
| 10.5 | Waiver Under Asset Purchase Agreement and Post-Closing Covenant Agreement dated June 5, 2020 by and between IDTEC, LLC and TransBiotec, Inc. | 8-K | 10.4 | 06/11/2020 |
| 10.6 | Warrant to Purchase Common Stock dated June 5, 2020 issued to IDTEC, LLC | 8-K | 10.5 | 06/11/2020 |
| 10.7* | Advisory Agreement with Steven Beabout dated October 9, 2020 | 10-K | 10.16 | 03/31/2021 |
| 10.8 | 18% Original Issue Discount Convertible Debenture issued by SOBR Safe, Inc. to Armistice Capital Master Fund Ltd. dated September 27, 2021 | 8-K | 10.1 | 10/01/2021 |
| 10.9 | Warrant to Purchase Common Stock issued by SOBR Safe, Inc. to Armistice Capital Master Fund Ltd. dated September 27, 2021 | 8-K | 10.2 | 10/01/2021 |
| 10.10 | Securities Purchase Agreement by and between SOBR Safe, Inc. and Armistice Capital Master Fund Ltd. dated September 27, 2021 | 8-K | 10.3 | 10/01/2021 |
| 10.11 | Registration Rights Agreement by and between SOBR Safe, Inc. and Armistice Capital Master Fund Ltd. dated September 27, 2021 | 8-K | 10.4 | 10/01/2021 |
| 10.12 | Form of” Secured Convertible Debenture issued by SOBR Safe, Inc. in $2M Regulation D Offering | S-1/A | 10.21 | 12/01/2021 |
| 10.13 | Form of” Warrant issued by SOBR Safe, Inc. in Regulation D Offering | S-1/A | 10.22 | 12/01/2021 |
| 10.14* | Executive Employment Agreement with Scott Bennett dated August 17, 2021 | S-1/A | 10.24 | 01/19/2022 |
| 10.15* | Executive Employment Agreement with Michael Watson dated October 11, 2021 | S-1/A | 10.25 | 01/19/2022 | |
| 10.16* | Executive Employment Agreement with Gerard Wenzel dated January 1, 2022 | 8-K | 10.1 | 01/19/2022 | |
| 10.17 | Form of Share Exchange Agreement with David Gandini and Gary Graham for Series B Preferred Stock | S-1/A | 10.28 | 03/17/2022 | |
| 10.18 | Common Stock Purchase Warrant issued by SOBR Safe, Inc. to Armistice Capital Master Fund Ltd dated March 30, 2022 | S-1 | 10.30 | 09/16/2022 | |
| 10.19 | Waiver by and between SOBR Safe, Inc. and Armistice Capital Master Fund Ltd. dated March 30, 2022 | 8-K | 10.1 | 04/01/2022 | |
| 10.20 | Securities Purchase Agreement by and between SOBR Safe, Inc. and Aegis Capital Corp. dated September 28, 2022 | 8-K | 10.1 | 10/03/2022 | |
| 10.21 | Registration Rights Agreement by and between SOBR Safe, Inc. and Purchasers dated September 30, 2022. | 8-K | 10.2 | 10/03/2022 | |
| 10.22 | Form of Pre-Funded Warrant Agreement by and between SOBR Safe, Inc. and Purchasers dated September 30, 2022 | 8-K | 10.3 | 10/03/2022 | |
| 10.23 | Form of Warrant Agreement by and between SOBR Safe, Inc. and Purchasers dated September 30, 2022 | 8-K/A | 10.4 | 10/14/2022 | |
| 10.24* | Executive Employment Agreement with David Gandini dated January 30th, 2023 | 8-K | 10.1 | 02/03/2023 | |
| 10.25 | Purchase Agreement between SOBR Safe, Inc. and Purchasers dated March 7, 2023 | 8-K | 10.1 | 03/13/2023 | |
| 10.26 | Registration Rights Agreement between SOBR Safe, Inc. and Purchasers dated March 7, 2023 | 8-K | 10.2 | 03/13/2023 | |
| 10.27 | Form of Senior Convertible Note between SOBR Safe, Inc. and Holders dated March 9, 2023 | 8-K | 10.3 | 03/13/2023 | |
| 10.28 | Common Stock Purchase Warrant between SOBR Safe, Inc. and Holders dated March 9, 2023 | 8-K | 10.4 | 03/13/2023 | |
| 10.29 | Amended And Restated Common Stock Purchase Warrant dated September 30, 2022 issued by SOBR Safe, Inc. to Armistice Capital Master Fund Ltd. amending the original warrant dated March 30, 2022 | S-1 | 10.35 | 10/14/2022 | |
| 10.30 | Amended And Restated Common Stock Purchase Warrant dated September 30, 2022 issued by SOBR Safe, Inc. to Armistice Capital Master Fund Ltd. amending the original warrant dated September 27, 2021 | S-1 | 10.36 | 10/14/2022 | |
| 10.31* | Consulting Agreement by and between SOBR Safe, Inc. and Winterstone Group, LLC dated January 21, 2022 | 8-K | 10.1 | 07/27/2022 | |
| 10.32 | Services Agreement by and between SOBR Safe, Inc. and TraDigital Marketing Group, LLC dated January 18, 2022 | 8-K | 10.2 | 07/27/2022 | |
| 10.33 | Confirming Agreement by and between SOBR Safe, Inc. and Winterstone Group, LLC dated May 16, 2022 | 8-K | 10.3 | 07/27/2022 | |
| 10.34 | Confirming Agreement by and between SOBR Safe, Inc. and TraDigital Marketing Group, LLC dated May 16, 2022 | 8-K | 10.4 | 07/27/2022 | |
| 21.1 | List of Subsidiaries | 10-K | 21.1 | 03/31/2023 | |
| 23.1 | Consent of Independent Registered Public Accounting Firm | X | |||
| 23.2 | Consent of Independent Registered Public Accounting Firm | X | |||
| 31.1 | Principal Executive Officer Certification Pursuant to Item 601(b)(31) of Regulation S-K, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | |||
| 31.2 | Principal Financial Officer Certification Pursuant to Item 601(b)(31) of Regulation S-K, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | |||
| 32.1 | Principal Executive Officer Certification Pursuant to Item 601(b)(32) of Regulation S-K, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | X | |||
| 32.2 | Principal Financial Officer Certification Pursuant to Item 601(b)(32) of Regulation S-K, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | X | |||
| 97.1 | Compensation Recovery Policy | X | |||
| 101.INS | Inline XBRL Instance Document. | X | |||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Linkbase Document. | X | |||
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document. | X | |||
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document. | X | |||
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document. | X | |||
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document. | X | |||
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101). | X | |||
| * | Indicates a management contract or compensatory plan or arrangement. |
|---|
**XBRL (Extensible Business Reporting Language) information is furnished and not filed or a part of a registration statement or prospectus for purposes of Sections 11 or 12 of the Securities Act of 1933, as amended, is deemed not filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, and otherwise is not subject to liability under these sections.
(c) Financial Statement Schedules
Schedules not listed above have been omitted because the information required to be set forth therein is not applicable or is shown in the financial statements or the notes thereto.
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