Company: CPMV
Filing Date: 2025-04-15
Form Type: 10-K
Source: 0001683168-25-002584
Chunk: 218

Company: Mosaic ImmunoEngineering Inc.
Filing Date: 2025-04-15
Form: 10-K
Item: Item 1B
Chunk 218
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ued Upon the
                                                                                                                                                                                 Exercise of Outstanding Options, Warrants and Rights  
    (b) Weighted-Average Exercise Price of Outstanding Options, Warrants and Rights ($/share)  
    (c) Number of Shares Remaining Available for Future Issuance Under Equity Compensation Plans (Excluding Securities Reflected in Column (a)) 
  
    Equity compensation plans approved by stockholders 
     510,513(1) 
     –(2) 
     1,137,409(3)
  
    Equity compensation plans not approved by stockholders 
     –  
     –  
     – 
  
    Total 
     510,513(1) 
     –(2) 
     1,137,409(3)

 ______________________

    (1)
    Represents restricted stock units (“RSUs”) granted under our stockholder approved equity compensation plan referred to as the 2020 Omnibus Incentive Plan (“2020 Plan”).

    (2)
    Weighted-average exercise price is not shown as there is no exercise price for RSUs.

    (3)
    On the first anniversary date from the adoption date of the 2020 Plan (or on October 21, 2022), the total number of shares of common stock reserved for issuance under the 2020 Plan increased to 20% of the fully diluted shares of common stock outstanding, including shares of common stock reserved for issuance under convertible securities, such as the shares issuable upon the conversion of convertible preferred stock, as calculated on an as-converted basis. On October 21, 2021, the number of shares reserved for issuance under the 2020 Plan increased to 1,661,966, of which, 1,137,409 are available for future issuance.

Recent Sale of Unregistered Securities

None.

Issuer Purchases of Equity Securities

None.

    ITEM 6.
    SELECTED FINANCIAL DATA

As a “smaller reporting company” as defined
in Rule 12b-2 of the Exchange Act, selected financial data is not required to be disclosed.

 28 

    ITEM 7.
    MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS

Unless the context otherwise requires, references
to the “Company,” the “combined company,” “Mosaic,” “we,” “our,” or “us”
in this Annual Report on Form 10-K (“Report”) refer