SEC Form 4
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*
Vitoc Vlad
(Last) (First) (Middle)
444 WEST LAKE STREET,
(Street)
CHICAGO IL 60606
(City) (State) (Zip)
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
3. Date of Earliest Transaction (Month/Day/Year)
11/05/2024
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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
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 (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).
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