Company: CPMV
Filing Date: 2025-04-15
Form Type: 10-K
Source: 0001683168-25-002584
Chunk: 137

Company: Mosaic ImmunoEngineering Inc.
Filing Date: 2025-04-15
Form: 10-K
Item: Item 1A
Chunk 137
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 us to incur significant
costs. We are generally obliged, to the extent permitted by law, to indemnify our current and former directors and officers who are named
as defendants in these types of lawsuits. Regardless of the outcome, litigation may require significant attention from management and
could result in significant legal expenses, settlement costs or damage awards that could have a material impact on our financial position,
results of operations and cash flows.

 21 

Risks Related
to Our Common Stock 

There is a substantial lack of liquidity of our
common stock and volatility risks, and because there is no active public trading market for our common stock, you may not be able to resell
your common stock.

Our common stock is not listed on any securities exchange
and is quoted on the OTC Pink Open Market (“OTC Pink”) under the symbol “CPMV.” The trading volume of our common
stock historically has been limited and sporadic, and the stock prices have been volatile. There can be no assurance that there will be
an active market for our shares of common stock either now or in the future or that stockholders will be able to liquidate their investment
or liquidate it at a price that reflects the value of the business. As a result, our stockholders may not find purchasers for our securities
should they desire to sell them. We cannot give you any assurance that a broader or more active public trading market for our common stock
will develop or be sustained. In addition, if our shares of common stock cease to be quoted, holders would find it more difficult to dispose
of or to obtain accurate quotation as to the market value of our common stock, and as a result, the market value of our common stock likely
would decline.

The market for our common stock is subject to rules
relating to low-priced stock (“Penny Stock”) which may limit our ability to raise capital.

Our common stock is currently subject to the “penny
stock rules” adopted pursuant to Section 15(g) of the Exchange Act. In general, the penny stock rules apply to non-Nasdaq or non-national
stock exchange companies whose common stock trades at less than $5.00 per share or which have tangible net worth of less than $5,000,000
($2,000,000 if the company has been operating for three or more years). Such rules require, among other things, that brokers who trade
“penny stock” on behalf of persons other than “established customers” complete