Company: CPMV
Filing Date: 2025-04-15
Form Type: 10-K
Source: 0001683168-25-002584
Chunk: 529

Company: Mosaic ImmunoEngineering Inc.
Filing Date: 2025-04-15
Form: 10-K
Item: Item 4
Chunk 529
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security. A person is also deemed to be a beneficial owner of any securities of which that person has a right to acquire beneficial ownership
within 60 days of March 31, 2025, including, but not limited to, any right to acquire the security upon vesting of a restricted stock
units (“RSUs”) or through the exercise of any option or warrant or through the conversion of a security. Any securities not
outstanding that are subject to outstanding RSUs, options, warrants or other convertible securities shall be deemed to be outstanding
for the purpose of computing the percentage of outstanding securities of the class owned by that person, but shall not be deemed to be
outstanding for the purpose of computing the percentage of the class owned by any other person.

Unless otherwise indicated, each person named below
holds sole investment and voting power, other than the powers that may be shared with the person’s spouse under applicable law.
Unless otherwise noted below, each individual’s address is 9114 Adams Avenue, #202, Huntington Beach, California 92646.

    Title of Class
    Name of Beneficial Owner
    Amount and Nature of Ownership (1)
    
    Percent of Class
    (1)
  
    Common Stock, $0.00001 par value:

    Nicole Steinmetz, Ph.D. (2)
    2,224,614
    30.66%

    Steven King (3)
    1,666,236
    22.93%

    Paul Lytle
    1,641,252
    22.66%

    Case Western Reserve University (4)
    802,786
    9.98%

    Steven Fiering, Ph.D.
    570,870
    7.88%

    Robert Garnick, Ph.D. (5)
    550,465
    7.40%

    Robert A. Baffi, Ph.D. (5)
    193,671
    2.60%

    All officers and directors as a group
    4,051,624
    44.1%

    (four individuals in total)

    Series B Preferred, $0.00001 par value:

    Case Western Reserve University
    10900 Euclid Avenue
    Adelbert Hall, Suite 4
    Cleveland, OH 44106-7014
    70,000
    100.0%

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*
Represents less than