Mosaic ImmunoEngineering is a nanotechnology-based immunotherapy company developing therapeutics and vaccines to positively impact the lives of patients and their families.
Message: Stock options
Do all these stock options for BOD members that became excercisable within 60 days of July, 31, 2009 have any special meaning?
ITEM 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS
The following table sets forth, as of July 31, 2009, the stock ownership of each of our officers and directors, of all our officers and directors as a group, and of each person known to us to be a beneficial owner of 5% or more of our Common Stock. The number of shares of Common Stock outstanding as of July 31, 2009, was 410,304,054. Except as otherwise noted, each person listed below is the sole beneficial owner of the shares and has sole investment and voting power over such shares. Each individual’s address is Carlsbad Corporate Plaza, 6183 Paseo Del Norte, Suite 180, Carlsbad, California 92011.
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Name
|
Amount & Nature of
Beneficial Ownership
|
Percent of Class
|
|
Gloria H. Felcyn, CPA
|
1,759,700 (1)
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*
|
|
Helmut Falk, Jr.
|
3,697,731 (2)
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*
|
|
Carlton M. Johnson, Jr.
|
1,925,000 (3)
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*
|
|
Harry (Nick) L. Tredennick III
|
280,000 (4)
|
*
|
|
Donald E. Schrock
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242,612 (5)
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*
|
|
Frederick (Rick) C. Goerner
|
1,700,000 (6)
|
*
|
|
Clifford L. Flowers
|
421,875 (7)
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*
|
|
Paul R. Bibeau
|
800,000 (8)
|
*
|
|
All directors & officers as a group (8 persons)
|
10,826,918 (9)
|
2.64%
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*Less than 1%
|
(1)
|
Includes 950,000 shares issuable upon the exercise of outstanding stock options exercisable within 60 days of July 31, 2009.
|
|
(2)
|
Includes 900,000 shares issuable upon the exercise of outstanding stock options exercisable within 60 days of July 31, 2009.
|
|
(3)
|
Includes 1,400,000 shares issuable upon the exercise of outstanding stock options exercisable within 60 days of July 31, 2009.
|
|
(4)
|
Includes 100,000 shares issuable upon the exercise of outstanding stock options exercisable within 60 days of July 31, 2009.
|
|
(5)
|
Represents shares issuable upon the exercise of outstanding stock options exercisable within 60 days of July 31, 2009.
|
|
(6)
|
Includes 1,000,000 shares issuable upon the exercise of outstanding stock options exercisable within 60 days of July 31, 2009.
|
|
(7)
|
Represents shares issuable upon the exercise of outstanding stock options exercisable within 60 days of July 31, 2009.
|
|
(8)
|
Includes 400,000 shares issuable upon the exercise of outstanding stock options exercisable within 60 days of July 31, 2009.
|
|
(9)
|
Includes 5,414,487 shares issuable upon the exercise of outstanding stock options exercisable within 60 days of July 31, 2009.
|
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