Company: CPMV
Filing Date: 2025-08-19
Form Type: 10-Q
Source: 0001683168-25-006318
Chunk: 45

Company: Mosaic ImmunoEngineering Inc.
Filing Date: 2025-08-19
Form: 10-Q
Item: Part II, Item 1
Chunk 45
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Information pertaining to legal proceedings is provided
in Note 9, Commitments and Contingencies, to the unaudited condensed consolidated financial statements and is incorporated by reference
herein.

    Item 1A.
    Risk Factors

There have been no material changes to those risk factors described in
our Annual Report on Form 10-K for the year ended December 31, 2024 filed with the SEC on April 15, 2025 under the heading “Risk
Factors”.

    Item 3.
    Defaults Upon Senior Securities

None.

    Item 4.
    Mine Safety Disclosures

Not applicable.

    Item 5.
    Other Information

Mr. Lytle resigned as EVP, Chief Financial Officer
and from the Board of Directors of the Company on August 15, 2025. Mr. Lytle’s resignation was not the result of any disagreement
with either the Board of Directors or management of the Company. Mr. Steven King, President and CEO, assumed the role of Principal Financial
Officer and Principal Accounting Officer.

Dr. Garnick resigned from the Board of Directors
of the Company and any committees of the Board of Directors effective August 15, 2025. The resignation was not the result of any disagreement
with either the Board of Directors or management of the Company.

Dr. Baffi resigned from the Board of Directors
of the Company and any committees of the Board of Directors effective August 18, 2025. The resignation was not the result of any disagreement
with either the Board of Directors or management of the Company.

During the quarter ended June 30, 2025, no director
or officer 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.

    Item 6.
    Exhibits

The exhibits filed or furnished as part of this Quarterly
Report on Form 10-Q are set forth below.

    Exhibit No.
     
    Description

    31.1*
     
    Certification of Principal Executive and Principal Financial Officer pursuant to Rule 13a-14(a) or 15d-14(a) of the Securities Exchange Act of 1934, as amended
  
    32.1*
     
    Certification of Principal Executive and Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes