Mosaic ImmunoEngineering is a nanotechnology-based immunotherapy company developing therapeutics and vaccines to positively impact the lives of patients and their families.
Message: From SB 2/A 7/26/06
http://app.quotemedia.com/quotetools/showFiling.go?webmasterId=90914&name=PATRIOT SCIENTIFIC CORP: SB-2/A, Sub-Doc 1&link=http%3A//quotemedia.10kwizard.com/filing.xml%3Frid%3D23%26ipage%3D4291355%26DSEQ%3D1%26SQDESC%3DSECTION_BODY%26doc%3D1&cp=on&type=HTML
ITEM 26. RECENT SALES OF UNREGISTERED SECURITIES
We offered and sold the following common stock, either for cash or in consideration of services rendered as indicated below, and common stock warrants without registration under the Securities Act of 1933, as amended, and exemption for such sales from registration under the Act is claimed in reliance upon the exemption provided by Section 4(2) thereof on the basis that such offers and sales were transactions not involving any public offering. Appropriate precautions against transfer have been taken, including the placing of a restrictive legend on all certificates evidencing such securities. All such sales were effected without the aid of underwriters, and no sales commissions were paid.
Common Stock
|
Name |
Date of Sale |
Number of Shares |
Aggregate Purchase Price |
Purchase Price Per Share |
|
|
|
|
|
|
|
John Laws |
January 21, 2003 |
98,039 |
5,000 |
0.05 Cash |
|
REC Music Foundation |
February 3, 2003 |
400,000 |
12,000 |
0.03 Cash |
|
John Castellano |
February 3, 2003 |
138,889 |
5,000 |
0.04 Cash |
|
Lyle Armstrong |
February 7, 2003 |
125,000 |
4,500 |
0.04 Cash |
|
Lyle Armstrong |
February 13, 2003 |
88,889 |
3,000 |
0.03 Cash |
|
Red Oak Inc. |
February 13, 2003 |
59,259 |
2,000 |
0.03 Cash |
|
Orrin Noling |
February 24, 2003 |
162,338 |
5,000 |
0.03 Cash |
|
Michael Korbiak |
March 3, 2003 |
155,807 |
5,500 |
0.04 Cash |
|
Lyle Armstrong |
August 1, 2003 |
44,118 |
1,500 |
0.03 Cash |
|
Red Oak Inc. |
August 1, 2003 |
44,118 |
1,500 |
0.03 Cash |
35
|
Name |
Date of Sale |
Number of Shares |
Aggregate Purchase Price |
Purchase Price Per Share |
|
|
||||
|
Red Oak Inc. |
August 20, 2003 |
100,000 |
3,000 |
0.03 Cash |
|
REC Music Foundation |
August 26, 2003 |
1,000,000 |
25,000 |
0.03 Cash |
|
Red Oak Inc. |
September 16, 2003 |
64,516 |
2,000 |
0.03 Cash |
|
Dean Gullick |
September 23, 2003 |
181,333 |
5,440 |
0.03 Cash |
|
Lydon Inc. |
September 30, 2003 |
67,667 |
2,000 |
0.03 Cash |
|
Red Oak Inc. |
October 31, 2003 |
100,000 |
3,300 |
0.03 Cash |
|
Red Oak Inc. |
November 25, 2003 |
100,000 |
3,300 |
0.03 Cash |
|
Red Oak Inc. |
January 27, 2004 |
100,000 |
3,400 |
0.03 Cash |
|
Hawk Associates, Inc. |
January 5, 2004 |
700,000 |
30,252 |
0.04 Services |
|
Hawk Associates, Inc. |
February 3, 2004 |
300,000 |
14,800 |
0.05 Services |
|
Hawk Associates, Inc. |
April 21, 2004 |
126,496 |
14,800 |
0.12 Services |
|
Hawk and Associates |
August 2, 2004 |
296,000 |
14,800 |
0.05 Services |
|
Red Oak Inc. |
October 20, 2004 |
125,000 |
3,250 |
0.03 Cash |
|
Hawk and Associates |
January 10, 2005 |
500,000 |
44,000 |
0.09 Services |
|
AMD Corporation |
February 4, 2005 |
4,500,000 |
430000 |
0.10 Cash |
|
|
Warrants
|
Name |
Date of Issuance |
Number of Shares |
Initial Exercise Price Per Share |
Expiration Date |
|
|
|
|
|
|
|
Swartz Private Equity |
January 1, 2003 |
2,804,719 |
0.05400 |
April 1, 2011 |
|
Lincoln Ventures |
January 24, 2003 |
3,000,000 |
0.05444 |
April 1, 2011 |
|
Lincoln Ventures |
March 24, 2002 |
3,963,414 |
0.04100 |
April 1, 2011 |
|
Swartz Private Equity |
April 1, 2003 |
621,512 |
0.04080 |
April 1, 2011 |
|
Lincoln Ventures |
April 15, 2003 |
222,222 |
0.04500 |
April 1, 2011 |
|
Lincoln Ventures |
May 20, 2003 |
2,884,615 |
0.06500 |
April 1, 2011 |
|
Lincoln Ventures |
June 9, 2003 |
2,307,692 |
0.06500 |
April 1, 2011 |
|
Hawk Associates |
June 16, 2003 |
200,000 |
0.06000 |
June 16, 2008 |
|
Hawk Associates |
February 6, 2006 |
100,000 |
0.20000 |
February 6, 2011 |
|
Hawk Associates |
February 21, 2006 |
100,000 |
0.50000 |
February 21, 2011 |
|
Hawk Associates |
March 1, 2006 |
100,000 |
1.00000 |
March 1, 2011 |
|
Swartz Private Equity |
July 1, 2003 |
193,333 |
0.05720 |
April 1, 2011 |
|
James Zolin |
August 1, 2003 |
520,833 |
0.04800 |
August 1, 2008 |
|
Victor Gabourel |
August 1, 2003 |
520,833 |
0.04800 |
August 1, 2008 |
|
Richard Daniels |
August 1, 2003 |
520,833 |
0.04800 |
August 1, 2008 |
|
Lincoln Ventures |
October 21, 2003 |
2,142,857 |
0.03500 |
April 1, 2011 |
|
Charles Merk |
December 1, 2003 |
641,026 |
0.03900 |
December 1, 2008 |
|
Stan Caplan |
February 2, 2004 |
375,000 |
0.04000 |
February 2, 2009 |
|
Wayne Opperman |
February 2, 2004 |
1,250,000 |
0.04000 |
February 2, 2009 |
|
James Gamble |
February 2, 2004 |
125,000 |
0.04000 |
February 2, 2009 |
|
Steven Pratt |
February 2, 2004 |
250,000 |
0.04000 |
February 2, 2009 |
|
Donald Opperman |
February 2, 2004 |
250,000 |
0.04000 |
February 2, 2009 |
|
Gary Leikam |
February 2, 2004 |
125,000 |
0.04000 |
February 2, 2009 |
|
Adnan Aladray |
February 2, 2004 |
250,000 |
0.04000 |
February 2, 2009 |
|
Nazeah Aladray |
February 2, 2004 |
125,000 |
0.04000 |
February 2, 2009 |
|
LaRiccia Trust |
February 2, 2004 |
250,000 |
0.04000 |
February 2, 2009 |
|
James & Josephine Zolin |
February 2, 2004 |
750,000 |
0.04000 |
February 2, 2009 |
|
James Zolin |
February 2, 2004 |
125,000 |
0.04000 |
February 2, 2009 |
|
Victor Gabourel |
February 2, 2004 |
625,000 |
0.04000 |
February 2, 2009 |
|
Ed Kashou |
February 2, 2004 |
500,000 |
0.04000 |
February 2, 2009 |
|
Ed Kashou |
February 2, 2004 |
1,000,000 |
0.04000 |
February 2, 2009 |
|
Dan Vincent |
February 2, 2004 |
125,000 |
0.04000 |
February 2, 2009 |
|
Richard Daniels |
February 2, 2004 |
750,000 |
0.04000 |
February 2, 2009 |
36
|
Name |
Date of Issuance |
Number of Shares |
Initial Exercise Price Per Share |
Expiration Date |
|
|
||||
|
Stan Caplan |
February 2, 2004 |
750,000 |
0.04000 |
February 2, 2009 |
|
Barbara Opperman |
February 2, 2004 |
250,000 |
0.04000 |
February 2, 2009 |
|
Leo Correia |
February 2, 2004 |
250,000 |
0.04000 |
February 2, 2009 |
|
Mt. Savage Productions |
April 26, 2004 |
1,000,000 |
0.10000 |
April 26, 2009 |
|
Wayne Opperman |
September 28, 2004 |
1,250,000 |
0.04000 |
September 28, 2009 |
|
Wayne Opperman |
November 16, 2004 |
1,600,000 |
0.02500 |
November 16, 2011 |
|
James & Josephine Zolin |
November 16, 2004 |
1,600,000 |
0.02500 |
November 16, 2011 |
|
Victor Gabourel |
November 16, 2004 |
1,600,000 |
0.02500 |
November 16, 2011 |
|
Richard Daniels |
November 16, 2004 |
1,000,000 |
0.02500 |
November 16, 2011 |
|
Lincoln Ventures LLC |
November 17, 2004 |
9,431,137 |
0.01670 |
April 1, 2011 |
|
Lincoln Ventures LLC |
November 18, 2004 |
4,000,000 |
0.02500 |
April 1, 2011 |
|
Stan Caplan |
December 9, 2004 |
806,452 |
0.03100 |
December 9, 2011 |
|
Daniel Nunes |
January 17, 2005 |
403,226 |
0.03100 |
January 17, 2012 |
|
TPL |
June 15, 2005 |
3,500,000 |
0.12500 |
June 15, 2012 |
|
Lincoln Ventures LLC |
February 9, 2006 |
7,000,000 |
0.0775 |
April 1, 2011 |
|
Name |
Date of Sale |
Amount |
Initial Conversion Price |
|
|
|
|
|
|
Lincoln Ventures |
1/24/2003 |
$ 150,000 |
$ 0.05500 |
|
Lincoln Ventures |
3/24/2003 |
162,500 |
0.04100 |
|
Stan Caplan |
4/15/2003 |
10,000 |
0.04500 |
|
Lincoln Ventures |
5/20/2003 |
187,500 |
0.06500 |
|
Lincoln Ventures |
6/9/2003 |
150,000 |
0.06500 |
|
James Zolin |
8/1/2003 |
25,000 |
0.04800 |
|
Victor Gabourel |
8/1/2003 |
25,000 |
0.04800 |
|
Richard Daniels |
8/1/2003 |
25,000 |
0.04800 |
|
Lincoln Ventures |
8/5/2003 |
120,000 |
0.01720 |
|
Lincoln Ventures |
9/22/2003 |
202,500 |
0.01720 |
|
Lincoln Ventures |
10/21/2003 |
75,000 |
0.03500 |
|
Short term Convertible |
|
|
|
|
James Zolin |
9/30/2003 |
15,000 |
0.04000 |
|
Josephine Zolin |
9/30/2003 |
15,000 |
0.04000 |
|
Wayne Opperman |
9/30/2003 |
20,000 |
0.04000 |
|
Richard Daniels |
9/30/2003 |
25,000 |
0.04000 |
|
Charles Merk |
12/1/2003 |
25,000 |
0.03900 |
|
Lincoln Ventures |
1/23/2004 |
275,000 |
0.02667 |
|
Stan Caplan |
2/2/2004 |
15,000 |
0.04000 |
|
Wayne Opperman |
2/2/2004 |
50,000 |
0.04000 |
|
James Gamble |
2/2/2004 |
5,000 |
0.04000 |
|
Steven Pratt |
2/2/2004 |
10,000 |
0.04000 |
|
Donald Opperman |
2/2/2004 |
10,000 |
0.04000 |
|
Gary Leikam |
2/2/2004 |
5,000 |
0.04000 |
|
Adrian Aladray |
2/2/2004 |
10,000 |
0.04000 |
|
Nazeah Aladray |
2/2/2004 |
5,000 |
0.04000 |
|
Urban LaRiccia Trust |
2/2/2004 |
10,000 |
0.04000 |
|
James & Joe Zolin |
2/2/2004 |
30,000 |
0.04000 |
|
James Zolin |
2/2/2004 |
5,000 |
0.04000 |
|
Vic Gabourel |
2/2/2004 |
25,000 |
0.04000 |
|
Ed Kashou |
2/2/2004 |
20,000 |
0.04000 |
|
Ed Kashou |
2/2/2004 |
40,000 |
0.04000 |
|
Dan Vincent |
2/2/2004 |
5,000 |
0.04000 |
|
Rick Daniels |
2/2/2004 |
30,000 |
0.04000 |
|
Stan Caplan |
2/2/2004 |
30,000 |
0.04000 |
|
Barbara Opperman |
2/2/2004 |
10,000 |
0.04000 |
37
|
Name |
Date of Sale |
Amount |
Initial Conversion Price |
||
|
|
|||||
|
Leo Correia |
2/2/2004 |
10,000 |
0.04000 |
||
|
Lincoln Ventures |
3/24/2004 |
315,900 |
0.09383 |
||
|
Mt. Savage Productions |
4/26/2004 |
100,000 |
0.10000 |
||
|
Lincoln Ventures |
5/11/2004 |
486,600 |
0.07000 |
||
|
Wayne Opperman |
9/28/2004 |
50,000 |
0.04000 |
||
|
Wayne Opperman |
11/16/2004 |
40,000 |
0.02500 |
||
|
James & Joe Zolin |
11/16/2004 |
40,000 |
0.02500 |
||
|
Victor Gabourel |
11/16/2004 |
40,000 |
0.02500 |
||
|
Richard Daniels |
11/16/2004 |
25,000 |
0.02500 |
||
|
Lincoln Ventures |
11/17/2004 |
157,500 |
0.01670 |
||
|
Lincoln Ventures |
11/18/2004 |
100,000 |
0.02500 |
||
|
Stan Caplan |
12/9/2004 |
25,000 |
0.03100 |
||
|
Daniel Nunes |
1/17/2005 |
12,500 |
0.03100 |
||
Loading...
Loading...
New Message
Please
login
to post a reply