Siokas Grigorios's Form 4/A amendment
AmendedCosmos Health Inc. (COSM) · filed Aug 4, 2022
- Accession no.
- 0001477932-22-005642
- Filed
- Aug 4, 2022
- Trade date
- Jun 15, 2022
- Filing delay
- 50 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Jul 22, 2022
This filing lists 2 derivative transactions. It was filed 50 days after the trade.
This amendment replaces 0001477932-22-005313 (filed Jul 22, 2022).
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Siokas GrigoriosCIK 0001660125 | Director, Officer (Chief Executive Officer), 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 15, 2022 | Common Stock | PPurchaseAcquired | +2,413,438 | $0.62 | +$930 | 2,413,438 | Direct | |
| Jun 15, 2022 | Common Stock | PPurchaseAcquired | +2,654,782 | $0.62 | +$310,000 | 5,068,220 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Not applicable.
- F2
Mr. Siokas entered into a Securities Purchase Agreement to purchase: (A) 1,500 shares of Series A Convertible Preferred stock (with a stated value of $1,000 per share) initially convertible at the lower of (i) $3.00 or (ii) 80% of the average VWAP for five (5) trading days following the effective date of the Company's Registration Statement on June 7, 2022, which was reset to $0.6215; however, subject in all instances to a beneficial ownership limitation of 9.99%, and (B) Warrants to purchase 500,000 shares, initially exercisable at $3.30 per share, adjusted to $0.6215 per share; however, subject in all instances to a beneficial ownership limitation of 9.99% which Mr. Siokas currently exceeds.