Stan V. Smith - 27 Jul 2022 Form 3 Insider Report for MAIA Biotechnology, Inc. (MAIA)

Role
Director
Signature
/s/ Stan V. Smith
Issuer symbol
MAIA
Transactions as of
27 Jul 2022
Net transactions value
$0
Form type
3
Filing time
27 Jul 2022, 18:17:29 UTC
Next filing
02 Aug 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding MAIA Common Stock 296,128 27 Jul 2022 See Footnote F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding MAIA Stock Options 27 Jul 2022 Common Stock 25,000 $1.80 See Footnote F1, F2
holding MAIA Stock Options 27 Jul 2022 Common Stock 27,138 $1.80 See Footnote F1, F2
holding MAIA Stock Options 27 Jul 2022 Common Stock 18,000 $1.80 See Footnote F1, F3
holding MAIA Stock Options 27 Jul 2022 Common Stock 4,584 $1.80 See Footnote F1, F4
holding MAIA Stock Options 27 Jul 2022 Common Stock 18,000 $10.00 See Footnote F1, F5
holding MAIA Stock Options 27 Jul 2022 Common Stock 5,000 $10.00 See Footnote F1, F5
holding MAIA Warrants 27 Jul 2022 Common Stock 4,517 $6.00 See Footnote F1, F6
holding MAIA Warrants 27 Jul 2022 Common Stock 862 $6.00 See Footnote F1, F7
holding MAIA Warrants 27 Jul 2022 Common Stock 1,288 $6.00 See Footnote F1, F8
holding MAIA Warrants 27 Jul 2022 Common Stock 23,580 $6.00 See Footnote F1, F9
holding MAIA Warrants 27 Jul 2022 Common Stock 2,138 $6.00 See Footnote F1, F10
holding MAIA Warrants 27 Jul 2022 Common Stock 8,499 $6.00 See Footnote F1, F11
holding MAIA Warrants 27 Jul 2022 Common Stock 2,120 $6.00 See Footnote F1, F12
holding MAIA Warrants 27 Jul 2022 Common Stock 2,121 $6.00 See Footnote F1, F13
holding MAIA Warrants 27 Jul 2022 Common Stock 2,119 $6.00 See Footnote F1, F14
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These securities are beneficially owned by Mr. Smith through The Stan V. Smith Trust Dated 1993.
F2 Represents an option to purchase shares of Common Stock granted pursuant to the 2020 Equity Incentive Plan. These options fully vested on May 20, 2021.
F3 Represents an option to purchase shares of Common Stock granted pursuant to the 2020 Equity Incentive Plan. These options vested in 12 equal monthly installments beginning on December 15, 2020.
F4 Represents an option to purchase shares of Common Stock granted pursuant to the 2020 Equity Incentive Plan. These options vested in 12 equal monthly installments beginning on January 29,2021.
F5 Represents an option to purchase shares of Common Stock granted pursuant to the 2020 Equity Incentive Plan. These options vest in 12 equal monthly installments beginning on November 15, 2021.
F6 Each Warrant became exercisable on the date of issuance of May 06, 2020, and expires on the earliest to occur of: (a) May, 31, 2027 or (b) immediately prior to the closing of any change of control of the issuer.
F7 Each Warrant became exercisable on the date of issuance of March 08, 2021, and expires on the earliest to occur of: (a) March, 7, 2028 or (b) immediately prior to the closing of any change of control of the issuer.
F8 Each Warrant became exercisable on the date of issuance of March 29, 2021, and expires on the earliest to occur of: (a) March 28, 2028 or (b) immediately prior to the closing of any change of control of the issuer.
F9 Each Warrant became exercisable on the date of issuance of April 07, 2021, and expires on the earliest to occur of: (a) April 6, 2028 or (b) immediately prior to the closing of any change of control of the issuer.
F10 Each Warrant became exercisable on the date of issuance of April 23, 2021, and expires on the earliest to occur of: (a) April 22, 2028 or (b) immediately prior to the closing of any change of control of the issuer.
F11 Each Warrant became exercisable on the date of issuance of June 1, 2021, and expires on the earliest to occur of: (a) May 31, 2028 or (b) immediately prior to the closing of any change of control of the issuer.
F12 Each Warrant became exercisable on the date of issuance of June 11, 2021, and expires on the earliest to occur of: (a) June10, 2028 or (b) immediately prior to the closing of any change of control of the issuer.
F13 Each Warrant became exercisable on the date of issuance of June 15, 2021, and expires on the earliest to occur of: (a) June 14, 2028 or (b) immediately prior to the closing of any change of control of the issuer.
F14 Each Warrant became exercisable on the date of issuance of June 18, 2021, and expires on the earliest to occur of: (a) June 17, 2028 or (b) immediately prior to the closing of any change of control of the issuer.