SEC Form 4 filed by Chief Executive Officer Vitoc Vlad
$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) 11/05/2024 | ||||||||||||||||||||||||||
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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 | ||||||
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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 | $1.8 | 11/05/2024 | G(1) | 19,981 | 04/30/2020 | 04/01/2030 | Common Stock | 19,981 | $1.8 | 149,519 | D | ||||
| Stock Options | $1.8 | 11/05/2024 | G(1) | 19,981 | 11/05/2024 | 04/01/2030 | Common Stock | 19,981 | $1.8 | 19,981 | I | See footnote(2) | |||
| Stock Options | $1.8 | 11/05/2024 | G(3) | 19,982 | 04/30/2020 | 04/01/2030 | Common Stock | 19,982 | $1.8 | 129,537 | D | ||||
| Stock Options | $1.8 | 11/05/2024 | G(3) | 19,982 | 11/05/2024 | 04/01/2030 | Common Stock | 19,982 | $1.8 | 19,982 | I | See footnote(4) | |||
| Stock Options | $1.8 | 11/05/2024 | G(5) | 19,982 | 04/30/2020 | 04/01/2030 | Common Stock | 19,982 | $1.8 | 109,555 | D | ||||
| Stock Options | $1.8 | 11/05/2024 | G(5) | 19,982 | 11/05/2024 | 04/01/2030 | Common Stock | 19,982 | $1.8 | 19,982 | I | See footnote(6) | |||
| Stock Options | $2.5 | 11/05/2024 | G(7) | 41,254 | 05/31/2023 | 05/30/2033 | Common Stock | 41,254 | $2.5 | 82,506 | D | ||||
| Stock Options | $2.5 | 11/05/2024 | G(7) | 41,254 | 11/05/2024 | 05/30/2033 | Common Stock | 41,254 | $2.5 | 41,254 | I | See footnote(8) | |||
| Stock Options | $2.5 | 11/05/2024 | G(9) | 41,253 | 05/31/2023 | 05/30/2033 | Common Stock | 41,253 | $2.5 | 41,253 | D | ||||
| Stock Options | $2.5 | 11/05/2024 | G(9) | 41,253 | 11/05/2024 | 05/31/2033 | Common Stock | 41,253 | $2.5 | 41,253 | I | See footnote(10) | |||
| Stock Options | $2.5 | 11/05/2024 | G(11) | 41,253 | 05/31/2023 | 05/30/2033 | Common Stock | 41,253 | $2.5 | 0 | D | ||||
| Stock Options | $2.5 | 11/05/2024 | G(11) | 41,253 | 11/05/2024 | 05/31/2033 | Common Stock | 41,253 | $2.5 | 41,253 | I | See footnote(12) | |||
| Explanation of Responses: |
| 1. This transaction involves the reporting person's gift of 19,981 shares of MAIA Biotechnology, Inc.'s (the "Company") common stock held in options granted (which options fully vested on April 30, 2020) under the Company's 2018 Stock Option Plan to the Leia Violeta Ioana Vitoc 2022 MAIA Irrevocable Trust, for the benefit of Mr. Vitoc's child, for which Mr. Vitoc's spouse serves as the trustee. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
| 2. These securities are held by Leia Violeta Ioana Vitoc 2022 MAIA Irrevocable Trust for the benefit of Mr. Vitoc's child, for which Mr. Vitoc's spouse serves as trustee. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
| 3. This transaction involves the reporting person's gift of 19,982 shares of MAIA Biotechnology, Inc.'s (the "Company") common stock held in options granted (which options fully vested on April 30, 2020) under the Company's 2018 Stock Option Plan to the Lidia Maria Vitoc 2024 MAIA Irrevocable Trust, for the benefit of Mr. Vitoc's child. The reporting person disclaims beneficial ownership of these securities held by his daughter. |
| 4. These securities are held by Lidia Maria Vitoc 2024 MAIA Irrevocable Trust, for the benefit of Mr. Vitoc's child. The reporting person disclaims beneficial ownership of these securities held by his daughter. |
| 5. This transaction involves the reporting person's gift of 19,982 shares of MAIA Biotechnology, Inc.'s (the "Company") common stock held in options granted (which options fully vested on April 30, 2020) under the Company's 2018 Stock Option Plan to the Maia Laetitia Cristian Vitoc 2022 MAIA Irrevocable Trust, for the benefit of Mr. Vitoc's child, for which Mr. Vitoc's spouse serves as the trustee. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
| 6. These securities are held by Maia Laetitia Cristian Vitoc 2022 MAIA Irrevocable Trust for the benefit of Mr. Vitoc's child, for which Mr. Vitoc's spouse serves as trustee. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
| 7. This transaction involves the reporting person's gift of 41,254 shares of MAIA Biotechnology, Inc.'s (the "Company") common stock held in options granted (which options fully vested on May 31, 2023) under the Company's 2021 Stock Option Plan) to the Leia Violeta Ioana Vitoc 2022 MAIA Irrevocable Trust, for the benefit of Mr. Vitoc's child, for which Mr. Vitoc's spouse serves as the trustee. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
| 8. These securities are held by Leia Violeta Ioana Vitoc 2022 MAIA Irrevocable Trust for the benefit of Mr. Vitoc's child, for which Mr. Vitoc's spouse serves as trustee. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
| 9. This transaction involves the reporting person's gift of 41,253 shares of MAIA Biotechnology, Inc.'s (the "Company") common stock held in options granted (which options fully vested on May 31, 2023) under the Company's 2021 Stock Option Plan to the Maia Laetitia Cristian Vitoc 2022 MAIA Irrevocable Trust, for the benefit of Mr. Vitoc's child, for which Mr. Vitoc's spouse serves as the trustee. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
| 10. These securities are held by Maia Laetitia Cristian Vitoc 2022 MAIA Irrevocable Trust for the benefit of Mr. Vitoc's child, for which Mr. Vitoc's spouse serves as trustee. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
| 11. This transaction involves the reporting person's gift of 41,253 shares of MAIA Biotechnology, Inc.'s (the "Company") common stock held in options granted (which options fully vested on May 31, 2023) under the Company's 2021 Stock Option Plan to the Lidia Maria Vitoc 2024 MAIA Irrevocable Trust, for the benefit of Mr. Vitoc's child. The reporting person disclaims beneficial ownership of these securities held by his daughter. |
| 12. These securities are held by Lidia Maria Vitoc 2024 MAIA Irrevocable Trust, for the benefit of Mr. Vitoc's child. The reporting person disclaims beneficial ownership of these securities held by his daughter. |
| /s/ Vlad Vitoc | 11/06/2024 | |
| ** 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. | ||