posted on
Mar 06, 2008 06:56AM
Mosaic ImmunoEngineering is a nanotechnology-based immunotherapy company developing therapeutics and vaccines to positively impact the lives of patients and their families.
Message: Turley
Name |
Amount & Nature of
Beneficial Ownership
|
Percent of Class |
Gloria H. Felcyn, CPA |
1,439,700 (1) |
* |
Helmut Falk, Jr. |
3,428,231 (2) |
* |
Carlton M. Johnson, Jr. |
1,675,000 (3) |
* |
David H. Pohl |
2,657,846 (4) |
* |
Thomas J. Sweeney |
275,000 (5) |
* |
James L. Turley |
1,075,000 (6) |
* |
Harry (Nick) L. Tredennick III |
100,000 (7) |
* |
Lincoln Ventures, LLC |
29,624,189 (8) |
7.61% |
Swartz Private Equity, LLC |
5,759,940 (8) |
1.48% |
All directors & officers as a group (7 persons) |
10,650,777 (9) |
2.74% |
——————
*Less than 1%
(1) |
Includes 1,050,000 shares issuable upon the exercise of outstanding stock options exercisable within 60 days of August 31, 2007. |
(2) |
Includes 1,000,000 shares issuable upon the exercise of outstanding stock options exercisable within 60 days of August 31, 2007. |
(3) |
Includes 1,400,000 shares issuable upon the exercise of outstanding stock options exercisable within 60 days of August 31, 2007. |
2
(4) |
Includes 775,000 shares issuable upon the exercise of outstanding stock options exercisable within 60 days of August 31, 2007 |
(5) |
Represents shares issuable upon the exercise of outstanding stock options exercisable within 60 days of August 31, 2007. |
(6) |
Includes 1,000,000 shares issuable upon the exercise of outstanding stock options exercisable within 60 days of August 31, 2007. |
(7) |
Represents shares issuable upon the exercise of outstanding stock options exercisable within 60 days of August 31, 2007. |
(8) |
Includes 5,000,000 shares issuable upon the exercise of warrants. The documents governing Lincoln Ventures, LLC’s (“Lincoln”) warrants contain a provision prohibiting Lincoln from exercising warrants for shares of Common Stock if doing so would result in it and its affiliates beneficially owning shares of Common Stock representing more than 9.99% of the outstanding shares of Common Stock as determined under Section 13(d) of the Securities Exchange Act of 1934. If Swartz Private Equity LLC (“Swartz”) were determined to be an affiliate of Lincoln, then Lincoln’s exercisable warrant position would be reduced to the extent necessary to limit the combined beneficial ownership of Lincoln and Swartz to 9.99% of the Company’s outstanding Common Stock. |
(9) |
Includes 5,600,000 shares issuable upon exercise of outstanding stock options exercisable within 60 days of August 31, 2007. |
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