Company: CPMV
Filing Date: 2025-04-15
Form Type: 10-K
Source: 0001683168-25-002584
Chunk: 388

Company: Mosaic ImmunoEngineering Inc.
Filing Date: 2025-04-15
Form: 10-K
Item: Item 2
Chunk 388
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 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%

_____________

*
Represents less than 1%

(1)Applicable
                                            percentage ownership of common stock computed on the basis of 7,242,137 shares of common
                                            stock and 70,000 shares of Series B Preferred outstanding at March 31, 2025.

(2)Includes 570,870
                                            shares of common stock held by spouse and 12,492 shares of common stock to be issued upon
                                            the conversion of unsecured convertibles notes and accrued interest thereon.

(3)Includes 24,984
                                            shares of common stock to be issued upon the conversion of unsecured convertibles notes and
                                            accrued interest thereon.

(4)Represents
                                            the conversion of 70,000 shares of our Series B Preferred, whereby each share of the Series
                                            B Preferred shall initially convert into 11.46837 shares of common stock of the Company.

(5)Includes 193,671
                                            shares of common stock to be issued upon the conversion of unsecured convertibles notes and
                                            accrued interest thereon.

 44 

    ITEM 13.
    CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS, AND DIRECTOR INDEPENDENCE

Transactions With Directors, Executive Officers
and Principal Stockholders

There were no transactions, or series of transactions
during the year ended December 31, 2024, nor are there any currently proposed transactions, or series of transactions, to which we are
a party, in which the amount exceeds $120,000, and in which to our knowledge any director, executive officer, nominee, five percent or
greater stockholder, or any member of the immediate family of any of the foregoing persons, has or will have any direct or indirect material
interest.

Notwithstanding the foregoing, during April 2021,
we entered into consulting agreements (retroactive to September