Grigorios Siokas - 20 Oct 2022 Form 4 Insider Report for Cosmos Holdings Inc. (COSM)

Role
Chief Executive Officer, Director, 10%+ Owner
Signature
/s/ Grigorios Siokas
Issuer symbol
COSM
Transactions as of
20 Oct 2022
Net transactions value
+$3,487,201
Form type
4
Filing time
24 Oct 2022, 12:56:22 UTC
Previous filing
04 Aug 2022
Next filing
29 Nov 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COSM Common Stock, $.001 par value Purchase $1,500,000 +12,500,000 +183% $0.1200 19,334,168 20 Oct 2022 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction COSM Common Warrants Expiration (or cancellation) of long derivative position with value received $1,649,947 -2,654,782 -100% $0.6215 0 20 Oct 2022 Common Stock 2,654,782 $0.6215 Direct F2
transaction COSM Exchange Warrants Purchase $637,148 +5,309,564 $0.1200 5,309,564 20 Oct 2022 Common Stock 5,309,564 $0.1200 Direct F3
transaction COSM Series A Common Warrants Purchase $1,500,000 +12,500,000 $0.1200 12,500,000 20 Oct 2022 Common Stock 12,500,000 $0.1200 Direct F4
transaction COSM Series B Common Warrants Purchase $1,500,000 +12,500,000 $0.1200 12,500,000 20 Oct 2022 Common Stock 12,500,000 $0.1200 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Mr. Siokas purchased 12,500,000 shares of Common Stock pursuant to a Securities Purchase Agreement dated as of October 17, 2022 (the "SPA"), which were sold to him pursuant to Registration Statement Nos. 333-267505 and 333-267917.
F2 Mr. Siokas exchanged these warrants pursuant to a Warrant Exchange Agreement dated as of October 3, 2022, subject to a beneficial ownership limitations of 9.99%.
F3 Mr. Siokas acquired these warrants on October 20, 2022 pursuant to a Warrant Exchange Agreement set forth in Note 2 above.
F4 These warrants were acquired pursuant to the SPA and Registration Statements described in Note (1) above.