Item 2. Unregistered Sales of Equity Securities
ITEM 2. Unregistered Sales of Equity Securities and Use of Proceeds
(a)
Unregistered sales of equity securities:
On February 1, 2021, the Company issued 42,672 shares of its common stock valued at $139,964 to the holder of the Senior Secured Convertible Notes due August 15, 2023 in settlement of the accrued interest for the six month period ended February 15, 2021. Such shares were issued in a private placement transaction that was exempt from the registration requirements under the Securities Act pursuant to Section 4(a)(2) of the Securities Act.
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ITEM 6. Exhibits
(a)
Exhibits
10.22(1)
Form of Securities Purchase Agreement dated February 17, 2021
10.23*
First Amendment to Executive Severance and Change-In-Control Policy dated April 28, 2021
31.1*
Rule 13a-14 certification
31.2*
Rule 13a-14 certification
32.1**
Section 1350 certification
101*
The following financial information from MoSys, Inc.’s quarterly report on Form 10-Q for the period ended March 31, 2021, filed with the SEC on May 13, 2021, formatted in Extensible Business Reporting Language (XBRL): (i) the Condensed Consolidated Statements of Operations and Comprehensive Income (Loss) for the three months ended March 31, 2021 and 2020, (ii) the Condensed Consolidated Balance Sheets as of March 31, 2021 and December 31, 2020, (iii) the Condensed Consolidated Statements of Changes in Stockholders’ Equity for the three months ended March 31, 2021 and 2020, (iv) the Condensed Consolidated Statements of Cash Flows for the three months ended March 31, 2021 and 2020, and (v) Notes to Condensed Consolidated Financial Statements.
(1)
Incorporated by reference to Exhibit 10.1 to Form 8-K filed by the Company on February 17, 2021 (Commission File No. 000-32929
*Filed herewith.
**Furnished herewith.
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Signatures
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
Dated: May 13, 2021
MOSYS, INC.
By:
/s/ Daniel Lewis
Daniel Lewis
President and Chief Executive Officer
(Principal Executive Officer)
By:
/s/ James W. Sullivan
James W. Sullivan
Vice President of Finance and Chief Financial Officer
(Principal Financial and Accounting Officer)
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