Director Smith Stan bought $69,999 worth of shares (57,189 units at $1.22) (SEC Form 4)
$MAIA
Biotechnology: Pharmaceutical Preparations
Health Care
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
| Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
MAIA Biotechnology, Inc. [ MAIA ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 12/22/2025 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 12/22/2025 | P | 57,189(1) | A | $1.224 | 1,421,478 | I | See Footnote(2) | ||
| Common Stock | 4,580 | I | See footnote(3) | |||||||
| Common Stock | 4,580 | I | See footnote(4) | |||||||
| Common Stock | 4,580 | I | See footnote(5) | |||||||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Options | $1.36 | 12/22/2025 | P | 57,189(6) | 06/22/2026 | 12/22/2028 | Common Stock | 57,189 | $1.36 | 57,189 | I | See footnote(7) | |||
| Explanation of Responses: |
| 1. The common stock was purchased pursuant to a Securities Purchase Agreement and were issued under the Issuer's 2021 Equity Incentive Plan on December 22, 2025. |
| 2. These securities are beneficially owned by Mr. Smith through The Stan V. Smith Trust Dated 1993. |
| 3. These securities are beneficially owned by Mr. Smith through the Blake Sarai Teitei Smith IL Unif Trns Min Act. They are beneficially owned by Mr. Smith's family member. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. |
| 4. These securities are beneficially owned by Mr. Smith through the Gage Quentin Smith IL Unif Trns Min Act. They are beneficially owned by Mr. Smith's family member. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. |
| 5. These securities are beneficially owned by Mr. Smith through the Travis Deo Zai Zai Smith IL Unif Trns Min Act. They are beneficially owned by Mr. Smith's family member. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. |
| 6. These warrants were purchased pursuant to a Securities Purchase Agreement and were deemed options under the Issuer's 2021 Equity Incentive Plan on December 22, 2025. The options are exercisable beginning on the sixth month anniversary of the issuance date and expire 3-years after the initial issuance date. |
| 7. These securities are beneficially owned by Mr. Smith through The Stan V. Smith Trust Dated 1993. |
| /s/ Stan V. Smith | 12/22/2025 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||