Key facts
- This page summarizes Robert Baffi's Form 4 filing for Mosaic ImmunoEngineering Inc. (CPMV).
- 1 reported transaction and 1 derivative row are listed below.
- Accepted by SEC: 22 Feb 2022, 18:55.
Robert Baffi - 18 Feb 2022 Form 4 Insider Report for Mosaic ImmunoEngineering Inc. (CPMV)
- Reporting relationship
- Director
- Issuer ticker
- CPMV
- Reported as of
- 18 Feb 2022
- Net transaction value
- +$50,000
- SEC form
- 4
- Accepted by SEC
- 22 Feb 2022, 18:55:16 UTC
- Prior SEC filing
- 16 Jul 2021
- Next SEC filing
- 26 Dec 2023
- Source filing
- View source filing
- Reporting owner signature
- /s/ Paul Lytle, as attorney-in-fact for Robert A. Baffi, Ph.D.
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Robert Baffi filed Form 4 for Mosaic ImmunoEngineering Inc. (CPMV) on 22 Feb 2022.
Change
- Previous filing in this sequence was filed on 16 Jul 2021.
- Current net transaction value: +$50,000.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
CPMV
transaction
Derivative
Convertible Note
Other
- Transaction value
- $50,000
- Shares
- Change %
- Price
- Shares after
- $50,000
- Date
- 18 Feb 2022
- Ownership
- Direct
- Underlying class
- See footnotes
- Underlying amount
- Exercise price
- Footnotes
- F1, F2, F3
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 3 footnotes
Footnote F1
The Convertible Notes were issued on February 18, 2022 in exchange of $50,000 in proceeds to the Company; have no stated maturity date or expiration date; bear interest at a simple rate equal to eight percent (8.0%) per annum until converted; and automatically convert into the same equity securities offered in the Qualified Financing (see footnote 2 and 3) or at the option of the holder into the same equity securities offered in a Smaller Financing (see footnote 2 and 3).
Footnote F2
Upon a Qualified Financing or Smaller Financing (see footnote 3), the conversion price shall be equal to the lower of (i) the product equal to 80% times the lowest per unit purchase price of the equity securities issued for cash in the Qualified Financing or Smaller Financing (representing a 20% discount), or (ii) $1.00.
Footnote F3
A Qualified Financing represents a single transaction or series or transactions whereby the Company receives aggregate gross proceeds of at least $5 million from the sale of equity securities following the issuance date of the Convertible Note (excluding proceeds from the issuance of any future Convertible Notes). A Smaller Financing represents any sale of equity securities whereby the aggregate gross proceeds are less than $5 million (excluding proceeds from the issuance of any future Convertible Notes).