Siokas Grigorios's Form 4/A amendment
AmendedCosmos Health Inc. (COSM) · filed Jan 27, 2023
- Accession no.
- 0001477932-23-000574
- Filed
- Jan 27, 2023
- Trade date
- Dec 19, 2022
- Filing delay
- 39 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Dec 21, 2022
This filing lists 1 non-derivative transaction. It carries over 1 transaction from the original filing that it did not restate. Open-market purchases total $3.00M. It was filed 39 days after the trade.
This amendment restates part of 0001477932-22-009480 (filed Dec 21, 2022). The transactions it did not restate still count and are listed below.
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.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 19, 2022 | Common Stock, $.001 par value | PPurchaseAcquired | +260,870 | $11.50F2 | +$3,000,005 | 1,130,774 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001477932-22-009480 (filed Dec 21, 2022).
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 19, 2022 | Common Stock | PPurchaseAcquired | +260,870 | $11.50 | +$3,000,005 | 260,870 | 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
These shares were purchased by Mr. Siokas in a registered direct offering pursuant to the Company's "shelf" registration statement on Form S-3 (No. 333-267550) declared effective by the SEC on December 15, 2022.
- F2
All share and per share amounts reflect a 1 for 25 reverse stock split effected on December 15, 2022 with the Secretary of State of Nevada.
Referenced by the price of 1 transaction in Table I.
Remarks
Remarks: This amendment is being filed pursuant to Amendment No. 1 to the Securities Purchase Agreement dated as of December 19, 2022 filed by the issuer on January 17, 2023. Under the amendment, Mr. Siokas delivered back to the issuer warrants to purchase 260,870 shares of common stock which were voided.