Item 5. Other Information
ITEM 5. OTHER INFORMATION
None.
29
ITEM 6. EXHIBITS
(a) Exhibits required by
Item 601 of Regulation S-K.
Exhibits
Description
4.1
Form
of Warrant (Previously filed as exhibit 4.1 to the Company’s Current Report on Form 8-K with the SEC on August 16, 2023)
4.2
Form
of Warrant (Previously filed as exhibit 4.1 to the Company’s Current Report on Form 8-K with the SEC on October 5, 2023)
10.1
Form
of the SPA (Previously filed as exhibit 10.1 to the Company’s Current Report on Form 8-K with the SEC on August 16,
2023)
10.2
Form
of Investor Note (Previously filed as exhibit 10.2 to the Company’s Current Report on Form 8-K with the SEC on August
16, 2023)
10.3
Form
of Second Investor Note (Previously filed as exhibit 10.3 to the Company’s Current Report on Form 8-K with the SEC on
August 16, 2023)
10.4
Amendment
dated August 10, 2023 (Previously filed as exhibit 10.4 to the Company’s Current Report on Form 8-K with the SEC on
August 16, 2023)
10.5
Form
of the Purchase Agreement (Previously filed as exhibit 10.5 to the Company’s Current Report on Form 8-K with the SEC
on August 16, 2023)
10.6
Form
of the Purchase Agreement (Previously filed as exhibit 10.1 to the Company’s Current Report on Form 8-K with the SEC
on October 5, 2023)
10.7
Form
of the Note (Previously filed as exhibit 10.2 to the Company’s Current Report on Form 8-K with the SEC on October 5,
2023)
10.8
Form
of Registration Rights Agreement (Previously filed as exhibit 10.3 to the Company’s Current Report on Form 8-K with
the SEC on August 16, 2023)
31.1
Certification
of CEO and Principal Executive Officer pursuant to Rule 13a-14(a) or Rule 15d-14(a)*
31.2
Certification
of CFO and Principal Financial and Accounting Officer pursuant to Rule 13a-14(a) or Rule 15d-14(a)*
32.1
Certification
of CEO and Principal Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 - Filed herewith electronically**
32.2
Certification
of CFO and Principal Financial and Accounting Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 - Filed herewith
electronically**
101
XBRL Exhibits
104
Cover Page Interactive Data File (embedded
within the Inline XBRL document)
* Filed herewith
** Furnished herewith
30
SIGNATURES
Pursuant to the requirements
of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned
thereunto duly authorized.
SPLASH BEVERAGE GROUP, INC.
Date: November 14, 2023
By:
/s/ Robert Nistico
Robert Nistico, Chairman and CEO
(Principal Executive Officer)
Date: November 14, 2023
By:
/s/ Fatima Dhalla
Fatima Dhalla, Interim CFO
(Principal Accounting Officer and Principal Financial Officer)
31
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.