Company: CPMV
Filing Date: 2025-04-15
Form Type: 10-K
Source: 0001683168-25-002584
Chunk: 378

Company: Mosaic ImmunoEngineering Inc.
Filing Date: 2025-04-15
Form: 10-K
Item: Item 2
Chunk 378
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 may become inadequate because of changes in conditions, or the degree of compliance
with the policies or procedures may deteriorate.

    ITEM 9B.
    OTHER INFORMATION

Rule 10b5-1 Trading Plans

During the quarter ended December
31, 2024, no director or officer of the Company adopted or terminated any Rule 10b5-1 trading arrangement or non-Rule 10b5-1 trading arrangement,
as each term is defined in Item 408(a) of Regulation S-K.

 38 

PART III

    ITEM 10.
    DIRECTORS, EXECUTIVE OFFICERS AND CORPORATE GOVERNANCE

Directors
and Executive Officers 

On June 14, 2021, by written consent of the holders
of 80% of the voting power of our issued and outstanding capital stock (“Majority Shareholders”), the Majority Shareholders
voted in favor of up to six directors to the Company’s Board of Directors (the “Board”) to serve until the first annual
meeting of stockholders to occur following the first date on which our common stock is listed or quoted on a national securities exchange
or until their successors are elected and qualified, or until their earlier death, retirement, resignation or removal. Executive officers,
subject in each case to the terms and conditions of their respective offer letter or consulting agreement, serve at the discretion of
the Board, and are appointed to serve by the Compensation Committee of the Board. The following table and text set forth below contain
the names and ages of each person serving as our directors and/or executive officers as of December 31, 2024. The business address of
each of the directors and executive officers is 9114 Adams Avenue, #202, Huntington Beach, California 92646.

    Name
     
    Age
     
    Position and Term
  
    Steven King
     
    61
     
    Director (since August 21, 2020); President and CEO (since August 31, 2020)
  
    Robert Baffi, Ph.D.
     
    70
     
    Director (since July 15, 2021)
  
    Robert Garnick, Ph.D.
     
    76
     
    Director (since August 21, 2020)
  
    Paul Lytle
     
    57
     
    Director (since August 21, 2020); EVP, Chief Financial Officer, Corporate Secretary (since