Sec Form 3 Filing - Vitoc Vlad @ MAIA Biotechnology, Inc. - 2022-07-27

Insider filing report for Changes in Beneficial Ownership
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
FORM 3
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Expires: November 30, 2011
Estimated average burden hours per response... 0.5
1. Name and Address of Reporting Person
Vitoc Vlad
2. Issuer Name and Ticker or Trading Symbol
MAIA Biotechnology, Inc. [ MAIA]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director X __ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chief Executive Officer
(Last) (First) (Middle)
444 WEST LAKE STREET, SUITE 1700
3. Date of Earliest Transaction (MM/DD/YY)
07/27/2022
(Street)
CHICAGO, IL60606
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 783,121 D
Common Stock 200,000 I See Footnote( 1 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 of Derivative Security: 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 ( 2 ) 09/30/2028 Common Stock 700,000 D
Stock Options $ 1.8 ( 3 ) 09/30/2028 Common Stock 105,000 D
Stock Options $ 1.8 ( 4 ) 04/01/2030 Common Stock 115,500 D
Stock Options $ 1.8 ( 5 ) 04/01/2030 Common Stock 54,000 D
Stock Options $ 1.8 ( 6 ) 11/02/2030 Common Stock 405,789 D
Stock Options $ 1.8 ( 6 ) 11/02/2030 Common Stock 100,000 I See Footnote( 7 )
Stock Options $ 1.8 ( 6 ) 11/02/2030 Common Stock 100,000 I See Footnote( 8 )
Stock Options $ 1.8 ( 9 ) 12/31/2030 Common Stock 23,695 D
Stock Options $ 1.83 ( 10 ) 04/15/2031 Common Stock 190,356 D
Stock Options $ 1.83 ( 11 ) 03/31/2031 Common Stock 23,078 D
Stock Options $ 1.83 ( 12 ) 04/15/2031 Common Stock 219,550 D
Stock Options $ 1.83 ( 13 ) 04/15/2031 Common Stock 100,000 D
Stock Options $ 1.83 ( 14 ) 06/30/2031 Common Stock 7,529 D
Stock Options $ 1.83 ( 15 ) 04/22/2031 Common Stock 10,159 I See Footnote( 1 )
Stock Options $ 1.83 ( 16 ) 11/16/2031 Common Stock 18,000 I See Footnote( 1 )
Warrants $ 6 ( 17 ) ( 17 ) Common Stock 1,811 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Vitoc Vlad
444 WEST LAKE STREET, SUITE 1700
CHICAGO, IL60606
X X Chief Executive Officer
Signatures
/s/ Vlad Vitoc 07/27/2022
Signature of Reporting Person Date
Explanation of Responses:
( 1 )These securities are beneficially owned by Mr. Vitoc's spouse. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
( 2 )Represents an option to purchase shares of Common Stock granted pursuant to the 2018 Stock Option Plan. These options vested in 48 equal monthly installments, with a 1 year cliff, beginning on October 1, 2018.
( 3 )Represents an option to purchase shares of Common Stock granted pursuant to the 2018 Stock Option Plan. 35,000 of these options vested on October 1, 2018, 28,000 of the options vested on January 1, 2019, 21,000 of the options vested on April 1, 2019, 14,000 of the options vested on July 1, 2019, and 7,000 of the options vested on October 1, 2019.
( 4 )Represents an option to purchase shares of Common Stock granted pursuant to the 2018 Stock Option Plan. These options fully vested on April 30, 2020.
( 5 )Represents an option to purchase shares of Common Stock granted pursuant to the 2018 Stock Option Plan. These options fully vested on January 1, 2021.
( 6 )Represents an option to purchase shares of Common Stock granted pursuant to the 2020 Equity Incentive Plan. These options are fully vested on November 3, 2020.
( 7 )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.
( 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 )Represents an option to purchase shares of Common Stock granted pursuant to the 2020 Equity Incentive Plan. These options vested in ninety equal daily installments beginning on January 1, 2021.
( 10 )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.
( 11 )Represents an option to purchase shares of Common Stock granted pursuant to the 2020 Equity Incentive Plan. These options vested in 90 equal daily installments beginning on April 1, 2021.
( 12 )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.
( 13 )Represents an option to purchase shares of Common Stock granted pursuant to the 2020 Equity Incentive Plan. These options vest in 36 equal monthly installments beginning on January 1, 2021.
( 14 )Represents an option to purchase shares of Common Stock granted pursuant to the 2020 Equity Incentive Plan. These options fully vested on July 1, 2021.
( 15 )Represents an option to purchase shares of Common Stock granted pursuant to the 2020 Equity Incentive Plan. These options vested in seven equal monthly instalments beginning on May 31, 2021.
( 16 )Represents an option to purchase shares of Common Stock granted pursuant to the 2020 Equity Incentive Plan. These options vested in 12 equal monthly instalments beginning on December 16, 2021.
( 17 )Each Warrant became exercisable on the date of issuance of April 03, 2020, and expires on the earliest to occur of: (a) March 2, 2028; or (b) immediately prior to the closing of any change of control of the issuer.

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.