Current Report Filing (8-k)
27 6월 2023 - 5:11AM
Edgar (US Regulatory)
0000836564
false
0000836564
2023-06-21
2023-06-21
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xbrli:shares
iso4217:USD
xbrli:shares
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM 8-K
Current Report
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of report (Date of earliest event reported):
June 21, 2023
MOSAIC IMMUNOENGINEERING, INC.
(Exact name of registrant as specified in its charter)
Delaware |
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0-22182 |
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84-1070278 |
(State or Other Jurisdiction
of Incorporation) |
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(Commission
File Number) |
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(I.R.S. Employer
Identification No.) |
1537 South Novato Blvd, #5
Novato, California 94947
(Address of principal executive offices, and zip
code)
Registrant’s telephone number, including
area code: (657) 208-0890
Not Applicable
(Former name or former address, if changed since
last report)
Check the appropriate box below if the Form 8-K filing is intended
to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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☐ |
Written communication pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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☐ |
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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☐ |
Pre-commencement communication pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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☐ |
Pre-commencement communication pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
Title of each class |
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Trading Symbol |
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Name of each exchange on which registered |
None |
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None |
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None |
Indicate by check mark whether the registrant is an emerging growth
company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange
Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant
has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant
to Section 13(a) of the Exchange Act. ☐
Item 1.01 |
Entry into a Material Definitive Agreement. |
On July 6, 2022, Mosaic ImmunoEngineering, Inc.,
a Delaware corporation (the “Company”), entered into a redemption agreement (the “Original Redemption Agreement”)
with Holocom, Inc., a California corporation (“Holocom”), pursuant to which the Company requested full redemption of its 2,100,000
shares of Series A Convertible Preferred Stock of Holocom (“Series A Preferred Stock”) at a redemption price of $0.40 per
share payable to the Company with an upfront payment of $336,000 and monthly installments thereafter through January 2025. Pursuant to
the Original Redemption Agreement, Holocom redeemed, in aggregate, 1,190,000 shares of Series A Preferred Stock in exchange for upfront
and monthly payments to the Company in the aggregate amount of $476,000.
On June 21, 2023 (“Effective Date”),
the Company and Holocom entered into Amendment No. 1 to the Original Redemption Agreement (“Amendment No. 1”) to redeem the
remaining 910,000 shares of Series A Preferred Stock in exchange for proceeds to the Company of $300,000 due no later than three (3) business
days from the Effective Date, representing a redemption price of approximately $0.33 per share. On June 22, 2023, the Company received
all proceeds from Holocom under Amendment No. 1.
The foregoing description of Amendment No. 1 and
the transaction contemplated thereby does not purport to be complete and is qualified in its entirety by reference to the full text of
Amendment No 1 to the Redemption Agreement, a copy of which is filed herewith as Exhibit 10.1 to this Current Report on Form 8-K and incorporated
in this Item 1.01 by reference.
The Company’s common stock, par value $0.00001
per share, is quoted on the OTCQB Venture Market tier (the “OTCQB”) of the OTC Markets Group Inc. (the “OTC Markets”).
The Company is in compliance with all eligibility criteria, including having a minimum bid price of $0.01, having at least 50 beneficial
shareholders owning at least 100 shares of common stock, a public float of at least 10% of total issued and outstanding shares of common
stock, as defined by OTC Markets, current in the payment of annual fees and certifications, among other requirements as defined by the
OTC Markets, to continue to be quoted on the OTCQB. In an effort to conserve the Company’s financial resources, the Board of Directors
of the Company deemed it to be in the best interest of the Company to not renew and pay its semi-annual fees to OTC Markets that is due
on or before June 30, 2023 and therefore, will result in the Company’s common stock to be quoted on the OTC Pink Open Market effective
July 3, 2023, which may adversely affect the market liquidity for the Company’s shares by limiting the ability of broker-dealers
to sell such shares, and the ability of stockholders to sell their shares in the secondary market. In addition, there can be no assurance
that the Company will pursue or meet the eligibility criteria and requalify for quotation on the OTCQB at any future date.
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Item 9.01 |
Financial Statements and Exhibits |
(d) The following exhibits are being filed herewith:
SIGNATURES
Pursuant to the requirements of the
Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly
authorized.
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Mosaic ImmunoEngineering, Inc. |
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Date: June 26, 2023 |
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By: /s/ Steven King |
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Steven King |
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President and Chief Executive Officer, Director |
Mosaic ImmunoEngineering (PK) (USOTC:CPMV)
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