GARNICK ROBERT L

SEC source: 0001683168-22-001212 · ownership.xml · derivative · entry 1

GARNICK ROBERT L · CIK 0001214124 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: See footnotes · Not disclosed shares

Expires not disclosed

F1 · security: 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).

F2 · derivative.exercise_price: 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.

F3 · derivative.exercise_price: 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).

F1 · derivative.exercise_date: 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).

F2 · derivative.exercise_date: 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.

F3 · derivative.exercise_date: 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).

F1 · derivative.expiration_date: 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).

F1 · derivative.underlying: 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).

F2 · derivative.underlying: 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.

F3 · derivative.underlying: 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).

F2 · derivative.underlying_shares: 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.

F3 · derivative.underlying_shares: 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).

F2 · valueOwnedAfter: 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.

F3 · valueOwnedAfter: 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).

SEC source: 0001683168-21-001855 · ownership.xml · derivative · entry 1

GARNICK ROBERT L · CIK 0001214124 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: See Footnotes · Not disclosed shares

Expires not disclosed

F1 · security: The Convertible Notes were issued on May 7, 2021 in exchange of $100,000 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).

F2 · derivative.exercise_price: 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) $2.377, representing $21 million divided by the number of fully diluted shares of Common Stock outstanding, including common stock reversed for issuance under the Company's Series B Convertible Voting Preferred Stock and the Company's 2020 Equity Incentive Plan as of the issuance date.

F3 · derivative.exercise_price: 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).

F1 · derivative.exercise_date: The Convertible Notes were issued on May 7, 2021 in exchange of $100,000 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).

F2 · derivative.exercise_date: 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) $2.377, representing $21 million divided by the number of fully diluted shares of Common Stock outstanding, including common stock reversed for issuance under the Company's Series B Convertible Voting Preferred Stock and the Company's 2020 Equity Incentive Plan as of the issuance date.

F3 · derivative.exercise_date: 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).

F1 · derivative.expiration_date: The Convertible Notes were issued on May 7, 2021 in exchange of $100,000 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).

F1 · derivative.underlying: The Convertible Notes were issued on May 7, 2021 in exchange of $100,000 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).

F2 · derivative.underlying: 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) $2.377, representing $21 million divided by the number of fully diluted shares of Common Stock outstanding, including common stock reversed for issuance under the Company's Series B Convertible Voting Preferred Stock and the Company's 2020 Equity Incentive Plan as of the issuance date.

F3 · derivative.underlying: 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).

F2 · derivative.underlying_shares: 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) $2.377, representing $21 million divided by the number of fully diluted shares of Common Stock outstanding, including common stock reversed for issuance under the Company's Series B Convertible Voting Preferred Stock and the Company's 2020 Equity Incentive Plan as of the issuance date.

F3 · derivative.underlying_shares: 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).

F2 · valueOwnedAfter: 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) $2.377, representing $21 million divided by the number of fully diluted shares of Common Stock outstanding, including common stock reversed for issuance under the Company's Series B Convertible Voting Preferred Stock and the Company's 2020 Equity Incentive Plan as of the issuance date.

F3 · valueOwnedAfter: 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).

SEC source: 0001683168-21-000320 · ownership.xml · derivative · entry 2

GARNICK ROBERT L · CIK 0001214124 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 356,794 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of the Series A Convertible Voting Preferred Stock automatically converted for no additional consideration into 10.194106 shares of common stock on January 29, 2021, the date that both of the following criteria were met: (i) upon the Registrant having a sufficient number of authorized and unissued shares of common stock so as to permit the conversion of all outstanding shares of the Series A Convertible Voting Preferred Stock into common stock, which occurred on December 2, 2020 in conjunction with the reverse stock split; and (ii) the effectiveness of any registration statement registering the resale of the underlying shares of common stock of the Registrant, which occurred on January 29, 2021.

F2 · derivative.exercise_price: The Series A Convertible Voting Preferred Stock has no expiration date.

F1 · price: Each share of the Series A Convertible Voting Preferred Stock automatically converted for no additional consideration into 10.194106 shares of common stock on January 29, 2021, the date that both of the following criteria were met: (i) upon the Registrant having a sufficient number of authorized and unissued shares of common stock so as to permit the conversion of all outstanding shares of the Series A Convertible Voting Preferred Stock into common stock, which occurred on December 2, 2020 in conjunction with the reverse stock split; and (ii) the effectiveness of any registration statement registering the resale of the underlying shares of common stock of the Registrant, which occurred on January 29, 2021.

F1 · derivative.exercise_date: Each share of the Series A Convertible Voting Preferred Stock automatically converted for no additional consideration into 10.194106 shares of common stock on January 29, 2021, the date that both of the following criteria were met: (i) upon the Registrant having a sufficient number of authorized and unissued shares of common stock so as to permit the conversion of all outstanding shares of the Series A Convertible Voting Preferred Stock into common stock, which occurred on December 2, 2020 in conjunction with the reverse stock split; and (ii) the effectiveness of any registration statement registering the resale of the underlying shares of common stock of the Registrant, which occurred on January 29, 2021.

F2 · derivative.expiration_date: The Series A Convertible Voting Preferred Stock has no expiration date.

SEC source: 0001683168-21-000320 · ownership.xml · nonDerivative · entry 1

GARNICK ROBERT L · CIK 0001214124 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 356,794

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share of the Series A Convertible Voting Preferred Stock automatically converted for no additional consideration into 10.194106 shares of common stock on January 29, 2021, the date that both of the following criteria were met: (i) upon the Registrant having a sufficient number of authorized and unissued shares of common stock so as to permit the conversion of all outstanding shares of the Series A Convertible Voting Preferred Stock into common stock, which occurred on December 2, 2020 in conjunction with the reverse stock split; and (ii) the effectiveness of any registration statement registering the resale of the underlying shares of common stock of the Registrant, which occurred on January 29, 2021.

SEC source: 0001683168-20-004321 · ownership.xml · derivative · entry 1

GARNICK ROBERT L · CIK 0001214124 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,087

Underlying: Common Stock · 26,087 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents the contingent right to receive, upon vesting, one share of the Issuer's Common Stock.

F2 · derivative.expiration_date: RSU's granted under the Mosaic ImmunoEngineering Inc. 2020 Omnibus Incentive Plan for non-employee Board compensation. RSUs will vest 100% on December 16, 2021, subject to the reporting person's continuous service to the Issuer on such vesting date.