Empery Asset Management Discloses Stake in SOBR Safe

TL;DR

**Empery Asset Management just revealed a new stake in SOBR Safe, signaling institutional interest.**

AI Summary

Empery Asset Management, LP, a Delaware-based investment firm, has reported its ownership in SOBR Safe, Inc. (SOBR) as of December 31, 2023. This SC 13G filing indicates that Empery Asset Management now holds a significant stake in the company's Common Stock, par value $0.00001. This matters to investors because a large institutional investor taking a position can signal confidence in the company's future, potentially influencing stock price and market perception.

Why It Matters

A major institutional investor, Empery Asset Management, has publicly disclosed its ownership in SOBR Safe, which can be seen as a vote of confidence and may attract other investors.

Risk Assessment

Risk Level: low — This filing is a routine disclosure of an institutional ownership stake and does not inherently present a direct risk to investors.

Analyst Insight

A smart investor would research Empery Asset Management's investment thesis and SOBR Safe's fundamentals to understand the potential reasons behind this institutional investment, rather than blindly following the filing.

Key Numbers

• $0.00001 — Par Value per Share (The par value of SOBR Safe, Inc.'s Common Stock.)

Key Players & Entities

• Empery Asset Management, LP (company) — the reporting person and institutional investor
• SOBR Safe, Inc. (company) — the subject company whose securities are being reported
• December 31, 2023 (date) — the date of the event requiring the filing
• $0.00001 (dollar_amount) — the par value of SOBR Safe's Common Stock
• Delaware (company) — place of organization for Empery Asset Management, LP

Forward-Looking Statements

• Other institutional investors may take notice of Empery Asset Management's stake and consider investing in SOBR Safe, potentially increasing demand for the stock. (SOBR Safe, Inc.) — medium confidence, target: Q1 2024

FAQ

Key Financial Figures

• $0.00001 — me of Issuer) Common Stock, par value $0.00001 (Title of Class of Securities) 83359

Filing Documents

• p24-0053sc13g.htm (SC 13G) — 81KB
• 0000902664-24-000086.txt ( ) — 83KB

(a)

Item 1(a). NAME OF ISSUER: The name of the issuer is SOBR Safe, Inc. (the " Company ").

(b)

Item 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: The Company's principal executive offices are located at 6400 S. Fiddlers Green Circle, Suite 1400, Greenwood Village, CO 80111.

(a)

Item 2(a). NAME OF PERSON FILING: This statement is filed by the entities and persons listed below, who are collectively referred to herein as " Reporting Persons ," with respect to the Common Stock (as defined in Item 2(d) below) of the Company: Investment Manager (i)Empery Asset Management, LP (the " Investment Manager "), with respect to the shares of Common Stock held by, and underlying the Reported Notes (as defined below) and Reported Warrants (as defined below) held by, funds to which the Investment Manager serves as investment manager (the " Empery Funds "). Reporting Individuals (ii)Mr. Ryan M. Lane (" Mr. Lane "), with respect to the shares of Common Stock held by, and underlying the Reported Notes and Reported Warrants held by, the Empery Funds. (iii)Mr. Martin D. Hoe (" Mr. Hoe "), with respect to the shares of Common Stock held by, and underlying the Reported Notes and Reported Warrants held by, the Empery Funds. The Investment Manager serves as the investment manager to each of the Empery Funds. Each of Mr. Lane and Mr. Hoe (the " Reporting Individuals ") is a Managing Member of Empery AM GP, LLC (the " General Partner "), the general partner of the Investment Manager.

(b)

Item 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: The address of the business office of each of the Reporting Persons is: 1 Rockefeller Plaza, Suite 1205 New York, New York 10020 CUSIP No. 833592207 13G Page 6 of 10 Pages

(c)

Item 2(c). CITIZENSHIP: Citizenship is set forth in Row 4 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person.

(d)

Item 2(d). TITLE OF CLASS OF SECURITIES: Common Stock, par value $0.00001 (the " Common Stock ")

(e)

Item 2(e). CUSIP NUMBER: 833592207 Item 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b) OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: (a) ¨ Broker or dealer registered under Section 15 of the Act, (b) ¨ Bank as defined in Section 3(a)(6) of the Act, (c) ¨ Insurance Company as defined in Section 3(a)(19) of the Act, (d) ¨ Investment Company registered under Section 8 of the Investment Company Act of 1940, (e) x Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940, (f) ¨ Employee Benefit Plan or Endowment Fund in accordance with Rule 13d1(b)(1)(ii)(F), (g) ¨ Parent Holding Company or control person in accordance with Rule 13d1(b)(1)(ii)(G), (h) ¨ Savings Association as defined in Section 3(b) of the Federal Deposit Insurance Act, (i) ¨ Church Plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940, (j) ¨ A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J); (k) ¨ Group, in accordance with Rule 13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J), please specify the type of institution: _________________________________ CUSIP No. 833592207 13G Page 7 of 10 Pages Item 4. The information as of the date of the event which requires filing of this statement required by Items 4(a) – (c) is set forth in Rows 5 – 11 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person. The percentage set forth in Row 11 of the cover page for each Reporting Person is based on 18,544,570 shares of Common Stock issued and outstanding as of November 8, 2023, as represented in the Company's Quarterly Report filed with the Securities and Exchange Commission on November 8, 2023 on Form 10-Q and assumes the conversion of the Company's reported

SIGNATURES

SIGNATURES After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. DATED: January 9, 2024 EMPERY ASSET MANAGEMENT, LP By: EMPERY AM GP, LLC, its General Partner By: /s/ Ryan M. Lane Name: Ryan M. Lane Title: Managing Member /s/ Ryan M. Lane Ryan M. Lane /s/ Martin D. Hoe Martin D. Hoe CUSIP No. 833592207 13G Page 10 of 10 Pages EXHIBIT 1 JOINT ACQUISITION STATEMENT PURSUANT TO RULE 13d-1(k) The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint acquisition statements. The undersigned acknowledge that each shall be responsible for the timely filing of such amendments, and for the completeness and accuracy of the information concerning him or it contained therein, but shall not be responsible for the completeness and accuracy of the information concerning the others, except to the extent that he or it knows or has reason to believe that such information is inaccurate. DATED: January 9, 2024 EMPERY ASSET MANAGEMENT, LP By: EMPERY AM GP, LLC, its General Partner By: /s/ Ryan M. Lane Name: Ryan M. Lane Title: Managing Member /s/ Ryan M. Lane Ryan M. Lane /s/ Martin D. Hoe Martin D. Hoe

View Full Filing

View this SC 13G filing on SEC EDGAR