GARNICK ROBERT L 4
4 · Mosaic ImmunoEngineering Inc. · Filed Jan 29, 2021
Insider Transaction Report
Form 4
GARNICK ROBERT L
Director
Transactions
- Conversion
Series A Convertible Voting Preferred Stock
2021-01-29−35,000→ 0 total→ Common Stock (356,794 underlying) - Conversion
Common Stock
2021-01-29+356,794→ 356,794 total
Footnotes (2)
- [F1]Each share of the Series A Convertible Voting Preferred Stock automatically converted for no additional consideration into 10.194106 shares of common stock on January 29, 2021, the date that both of the following criteria were met: (i) upon the Registrant having a sufficient number of authorized and unissued shares of common stock so as to permit the conversion of all outstanding shares of the Series A Convertible Voting Preferred Stock into common stock, which occurred on December 2, 2020 in conjunction with the reverse stock split; and (ii) the effectiveness of any registration statement registering the resale of the underlying shares of common stock of the Registrant, which occurred on January 29, 2021.
- [F2]The Series A Convertible Voting Preferred Stock has no expiration date.