Statement of Changes in Beneficial Ownership (4)
29 7월 2022 - 9:55PM
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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chang wen-han |
2. Issuer Name and Ticker or Trading Symbol
Ainos, Inc.
[
AIMD
]
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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)
8880 RIO SAN DIEGO DRIVE, SUITE 800 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/28/2022 |
(Street)
SAN DIEGO, CA 92108
(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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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 |
RSU | (1) | 7/28/2022 | | A | | 330000 | | (1) | (1) | Common Stock | 330000 | $0 | 330000 | D | |
Explanation of Responses: |
(1) | Reference is made to the Restricted Stock Units (the "RSU") granted under the 2021 Director Compensation Policy with respect to non-employee directors and the 2021 Stock Incentive Plan. Each RSU represents a right to receive one (1) share of common stock upon vesting and the expiration of any applicable restricted period, or in the sole discretion of the Compensation Committee, the cash value thereof (or any combination thereof). Holders of RSUs have no rights or privileges as a stockholder. Except as otherwise provided in the RSU Agreement, if the Reporting Person's participation is terminated or any reason prior to the date that all of its RSU have vested, all vesting with respect to the RSU shall cease and all unvested RSU shall be forfeited to the Company for no consideration as of the date termination. Vesting dates related to the RSUs are listed below:
Vesting Date 1: 110,000 shares common stock. The last day of the six-month period commending on the grant date.
Vesting Date 2: 110,000 shares common stock. The last day of the six-month period commencing on the 1-year anniversary of the grant date (i.e., 18 months after grant date).
Vesting Date 3: 110,000 shares common stock. The last day of the six-month period commencing on the 2nd anniversary of the grant date (i.e., 30 months after grant date). |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
chang wen-han 8880 RIO SAN DIEGO DRIVE, SUITE 800 SAN DIEGO, CA 92108 | X |
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Signatures
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/s/ John Junyong Lee POA for Wen-Han Chang | | 7/28/2022 |
**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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