Statement of Changes in Beneficial Ownership (4)
12 Septiembre 2022 - 4:31PM
Edgar (US Regulatory)
FORM 4
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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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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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1. Name and Address of Reporting Person
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Lofgren Sheri |
2. Issuer Name and Ticker or Trading Symbol
FOCUS UNIVERSAL INC.
[
FCUV
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O FOCUS UNIVERSAL INC., 2311 EAST LOCUST COURT |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/17/2022 |
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(Street)
ONTARIO, CA 91761
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 8/17/2022 | | A(1) | | 14677 | A | $5.7 | 14677 | D | |
| Common Stock | 8/17/2022 | | A(2) | | 10968 | A | $3 | 25645 | D | |
| Common Stock | 8/17/2022 | | A(3) | | 1804 | A | $8.86 | 27449 | D | |
| Common Stock | 9/7/2022 | | S | | 10903 | D | $10.13 | 16546 | D | |
| Common Stock | 9/7/2022 | | S | | 10000 | D | $10.26 | 6546 | D | |
| Common Stock | 9/7/2022 | | S | | 5000 | D | $10.35 | 1546 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 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 |
| Explanation of Responses: |
| (1) | Represents a cashless exercise of outstanding stock options to purchase 30,000 shares of common stock. The Reporting Person received 14,677 shares of common stock and surrendered 15,323 shares of common stock underlying the stock option in payment of the exercise price. |
| (2) | Represents a cashless exercise of outstanding stock options to purchase 15,000 shares of common stock. The Reporting Person received 10,968 shares of common stock and surrendered 4,032 shares of common stock underlying the stock option in payment of the exercise price. |
| (3) | Represents a cashless exercise of outstanding stock options to purchase 8,750 shares of common stock. The Reporting Person received 1,804 shares of common stock and surrendered 6,946 shares of common stock underlying the stock option in payment of the exercise price. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Lofgren Sheri
C/O FOCUS UNIVERSAL INC.
2311 EAST LOCUST COURT
ONTARIO, CA 91761 | X |
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Signatures
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| /s/ Sheri Lofgren | | 9/12/2022 |
| **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 control number. |
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