Sec Form 3 Filing - Louie Ngar Yee @ MAIA Biotechnology, Inc. - 2022-07-27

Insider filing report for Changes in Beneficial Ownership
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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
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1. Name and Address of Reporting Person
Louie Ngar Yee
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
_____ Officer (give title below) _____ Other (specify below)
(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 908,584( 1 ) D
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 ) 11/14/2030 Common Stock 18,000 D
Stock Options $ 10 ( 3 ) 11/14/2031 Common Stock 28,000 D
Warrants $ 6 ( 4 ) ( 4 ) Common Stock 86,292 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Louie Ngar Yee
444 WEST LAKE STREET, SUITE 1700
CHICAGO, IL60606
X X
Signatures
/s/ Louie Ngar Yee 07/27/2022
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Ms. Louie beneficially owns 908,584 shares of common stock.
( 2 )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 November 15, 2020.
( 3 )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.
( 4 )Each Warrant became exercisable on the date of issuance of February 26, 2021, and expires on the earliest to occur of: (a) February 25, 2028, or (b) immediately prior to the closing of any change of control.

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).

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