CHAOUKI STEVEN M

SEC source: 0001776865-24-000016 · wk-form4_1722888958.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 69,547

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001776865-24-000014 · wk-form4_1719959866.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 70,547

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001127602-24-019857 · form4.xml · derivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,728

Underlying: Common Stock · 5,728 shares

Expires 2034-06-30

F1 · derivative.exercise_date: The stock options, granted on June 30, 2024 pursuant to MAIA Biotechnology, Inc.'s 2021 Equity Incentive Plan, representing the right to buy shares of common stock, vest 100% on the date of the grant and are exercisable beginning as of that date.

SEC source: 0001776865-24-000012 · wk-form4_1717540208.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 71,547

F1 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001776865-24-000010 · wk-form4_1714767471.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 73,323

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001776865-24-000008 · wk-form4_1712097885.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets & CI

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 75,099

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001127602-24-011893 · form4.xml · derivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,193

Underlying: Common Stock · 9,193 shares

Expires 2034-03-31

F1 · derivative.exercise_date: The stock options, granted on March 31, 2024 pursuant to MAIA Biotechnology, Inc.'s 2021 Equity Incentive Plan, representing the right to buy shares of common stock, vest 100% on the date of the grant and are exercisable beginning as of that date.

SEC source: 0001127602-24-010489 · form4.xml · derivative · entry 2

CHAOUKI STEVEN M · CIK 0001776865 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,641

Underlying: Common Stock · 34,641 shares

Expires 2029-09-14

F1 · derivative.exercise_date: The warrants were purchased pursuant to a Securities Purchase Agreement dated March 11, 2024 and were deemed options issued under the Issuer's 2021 Equity Incentive Plan on March 14, 2024. The options are exercisable beginning on the six month anniverary of the issuance date and expire 5-years after the initial exercise date.

SEC source: 0001127602-24-010489 · form4.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 88,891

SEC source: 0001776865-24-000006 · wk-form4_1709767021.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets & CI

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 76,874

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001776865-24-000004 · wk-form4_1709250847.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets & CI

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,649

F1 · kind: Represents a grant of restricted stock units that vest ratably as follows: 33% on August 28, 2025; 33% on August 28, 2026; and 34% on August 28, 2027.

SEC source: 0001776865-24-000002 · wk-form4_1708470046.xml · nonDerivative · entry 2

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets & CI

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,233

F2 · kind: Reflects shares of Common Stock withheld by the Company in payment of tax liability incident to the vesting of restricted stock units and performance share units granted on February 19, 2021.

SEC source: 0001776865-24-000002 · wk-form4_1708470046.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets & CI

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,260

F1 · kind: Reflects shares of Common Stock earned upon the vesting of performance share units granted on February 19, 2021.

SEC source: 0001127602-24-000645 · form4.xml · derivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,418

Underlying: Common Stock · 15,418 shares

Expires 2033-12-31

F1 · derivative.exercise_date: The stock options, granted on December 31, 2023 pursuant to MAIA Biotechnology, Inc.'s 2021 Equity Incentive Plan, representing the right to buy shares of common stock, vest 100% on the date of the grant and are exercisable beginning as of that date.

SEC source: 0001776865-23-000022 · wk-form4_1696365916.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets & CI

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 56,860

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001127602-23-025144 · form4.xml · derivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,378

Underlying: Common Stock · 8,378 shares

Expires 2033-09-30

F1 · derivative.exercise_date: The stock options, granted on September 30, 2023 pursuant to MAIA Biotechnology, Inc.'s 2021 Equity Incentive Plan, representing the right to buy shares of common stock, vest 100% on the date of the grant and are exercisable beginning as of that date.

SEC source: 0001776865-23-000020 · wk-form4_1693947216.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets & CI

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 58,136

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001776865-23-000018 · wk-form4_1693342898.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets & CI

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,413

F1 · kind: Reflects shares of Common Stock withheld by the Company in payment of tax liability incident to the vesting of restricted stock units granted on February 25, 2022.

SEC source: 0001776865-23-000016 · wk-form4_1692823514.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets & CI

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 60,472

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001776865-23-000014 · wf-form4_169040654990488.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets & CI

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 61,421

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001127602-23-019776 · form4.xml · derivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,910

Underlying: Common Stock · 8,910 shares

Expires 2033-06-30

F1 · derivative.exercise_date: The stock options, granted on June 30, 2023 pursuant to MAIA Biotechnology, Inc.'s 2021 Equity Incentive Plan, representing the right to buy shares of common stock, vest 100% on the date of the grant and are exercisable beginning as of that date.

SEC source: 0001776865-23-000012 · wf-form4_168755332809732.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets & CI

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 62,372

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001776865-23-000010 · wf-form4_168496152549527.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets & CI

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 63,323

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001776865-23-000008 · wf-form4_168478828215206.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets & CI

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 64,274

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001127602-23-012017 · form4.xml · derivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,675

Underlying: Common Stock · 5,675 shares

Expires 2033-03-31

F1 · derivative.exercise_date: The stock options, granted on March 31, 2023 pursuant to MAIA Biotechnology, Inc's 2021 Equity Incentive Plan, representing the right to buy shares of common stock, vest 100% on the date of the grant and are exercisable beginning as of that date.

SEC source: 0001776865-23-000006 · wf-form4_167779778695022.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets & CI

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,066

F1 · kind: Represents a grant of restricted stock units that vest ratably as follows: 33% on August 28, 2024; 33% on August 28, 2025; and 34% on August 28, 2026.

SEC source: 0001776865-23-000004 · wf-form4_167719107256079.xml · nonDerivative · entry 2

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets & CI

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,254

F2 · kind: Reflects shares of Common Stock withheld by the Company in payment of tax liability incident to the vesting of restricted stock units and performance share units granted on February 21, 2020.

SEC source: 0001776865-23-000004 · wf-form4_167719107256079.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets & CI

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,778

F1 · kind: Reflects shares of Common Stock earned upon the vesting of performance share units granted on February 21, 2020.

SEC source: 0001776865-23-000002 · wf-form4_167702795580116.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets & CI

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,853

F1 · kind: Reflects shares of Common Stock withheld by the Company in payment of tax liability incident to the vesting of restricted stock units granted on February 19, 2021.

SEC source: 0001127602-23-000654 · form4.xml · derivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,045

Underlying: Common Stock · 3,045 shares

Expires 2032-12-30

F1 · derivative.exercise_date: The stock options, granted on December 30, 2022 pursuant to MAIA Biotechnology, Inc's 2021 Equity Incentive Plan, representing the right to buy shares of common stock, vest 100% on the date of the grant and are exercisable beginning as of that date.

SEC source: 0000899243-22-027456 · doc4.xml · nonDerivative · entry 2

CHAOUKI STEVEN M · CIK 0001776865 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,250

F2 · kind: In connection with a crossover round with certain investors consisting of sales of common stock, $0.0001 par value per share ("Common Stock") of the Issuer at a price of $9.00 per share, in the event that the price per share of Common Stock sold in the IPO was less than $9.00 per share, the Issuer, on the closing date of the IPO (August 1, 2022), issued to such investors, so long as they continued to hold such shares of Common Stock purchased in the crossover round, that number of additional shares of Common Stock such that the price per share they paid in the crossover round was equal to the per share price in the Issuer's IPO. As the reporting person purchased 10,000 shares at $9.00 per share in the crossover round that the reporting person continued to hold, and the per share price in the IPO was $5.00 per share, accordingly, at the close of the IPO, the Issuer issued to the reporting person an additional 8,000 shares of Common Stock for no additional consideration.

F2 · price: In connection with a crossover round with certain investors consisting of sales of common stock, $0.0001 par value per share ("Common Stock") of the Issuer at a price of $9.00 per share, in the event that the price per share of Common Stock sold in the IPO was less than $9.00 per share, the Issuer, on the closing date of the IPO (August 1, 2022), issued to such investors, so long as they continued to hold such shares of Common Stock purchased in the crossover round, that number of additional shares of Common Stock such that the price per share they paid in the crossover round was equal to the per share price in the Issuer's IPO. As the reporting person purchased 10,000 shares at $9.00 per share in the crossover round that the reporting person continued to hold, and the per share price in the IPO was $5.00 per share, accordingly, at the close of the IPO, the Issuer issued to the reporting person an additional 8,000 shares of Common Stock for no additional consideration.

SEC source: 0000899243-22-027456 · doc4.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,250

F1 · kind: These shares were purchased in the initial public offering (the "IPO") of MAIA Biotechnology, Inc. (the "Issuer"), which closed on August 1, 2022.

SEC source: 0001776865-22-000006 · wf-form4_164618245754201.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,702

F1 · kind: Represents a grant of restricted stock units that vest ratably as follows: 33% on August 25, 2023; 33% on August 25, 2024; and 34% on August 25, 2025.

SEC source: 0001776865-22-000004 · wf-form4_164557239937511.xml · nonDerivative · entry 2

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,754

F2 · kind: Reflects shares of Common Stock withheld by the Company in payment of tax liability incident to the vesting of restricted stock units and performance share units granted on February 20, 2019 and restricted stock units granted on February 21, 2020 and February 19, 2021.

SEC source: 0001776865-22-000004 · wf-form4_164557239937511.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,589

F1 · kind: Reflects shares of Common Stock earned upon the vesting of performance share units granted on February 20, 2019.

SEC source: 0001776865-21-000011 · wf-form4_162068912937012.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,165

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001776865-22-000002 · wf-form5_164454096886582.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,165

F1 · kind: The transfer reported on this Form 5 was effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001776865-21-000009 · wf-form4_161791345289719.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,665

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001776865-21-000007 · wf-form4_161412442408180.xml · nonDerivative · entry 2

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,665

F2 · kind: Reflects shares of Common Stock withheld by the Company in payment of tax liability incident to the vesting of restricted stock units granted on February 21, 2020.

SEC source: 0001776865-21-000007 · wf-form4_161412442408180.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,641

F1 · kind: Represents a grant of restricted stock units that vest ratably over three years, i.e., 33% on the first anniversary of the date of grant, 33% on the second anniversary of the date of grant, and 34% on the third anniversary of the date of grant.

SEC source: 0001776865-21-000005 · wf-form4_161369175924333.xml · nonDerivative · entry 2

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,240

F2 · kind: Reflects shares of Common Stock withheld by the Company in payment of tax liability incident to the vesting of restricted stock units and performance share units granted on February 16, 2018.

SEC source: 0001776865-21-000005 · wf-form4_161369175924333.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,321

F1 · kind: Reflects shares of Common Stock earned upon the vesting of performance share units granted on February 16, 2018.

SEC source: 0001776865-21-000003 · wf-form5_161352109009282.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,069

F1 · kind: The transfer reported on this Form 5 was effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001776865-20-000010 · wf-form4_158699412266278.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,069

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $72.00 to $72.50, inclusive. The reporting person undertakes to provide to TransUnion, any security holder of TransUnion, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001776865-20-000008 · wf-form4_158656811152696.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,515

F1 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $72.07 to $72.92, inclusive. The reporting person undertakes to provide to TransUnion, any security holder of TransUnion, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001776865-20-000006 · wf-form4_158327751761780.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,883

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $89.51 to $92.90, inclusive. The reporting person undertakes to provide to TransUnion, any security holder of TransUnion, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001776865-20-000004 · wf-form4_158267166563388.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,697

F1 · kind: Represents a grant of restricted stock units that vest ratably over three years, i.e., 33% on the first anniversary of the date of grant, 33% on the second anniversary of the date of grant, and 34% on the third anniversary of the date of grant.

SEC source: 0001776865-20-000002 · wf-form4_158224292846921.xml · nonDerivative · entry 2

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,023

F2 · kind: Reflects shares of Common Stock withheld by the Company in payment of tax liability incident to the vesting of restricted stock units and performance share units granted on February 17, 2017.

SEC source: 0001776865-20-000002 · wf-form4_158224292846921.xml · nonDerivative · entry 1

CHAOUKI STEVEN M · CIK 0001776865 · President, US Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,506

F1 · kind: Reflects shares of Common Stock earned upon the vesting of performance share units granted on February 17, 2017.

SEC source: 0001776865-19-000009 · wf-form4_157715197994199.xml · derivative · entry 3

CHAOUKI STEVEN M · CIK 0001776865 · EVP - US Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,661 shares

Expires 2023-12-16

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F3 · derivative.exercise_date: Represents an initial grant of 53,985 stock options, 40% of which vest upon the attainment of time-based vesting criteria and 60% of which vest upon the attainment of both time-based and performance-based vesting criteria. The performance-based vesting criteria was satisfied on February 22, 2017, and all options now follow the time-based vesting criteria as follows: 20% on the first anniversary of the date of grant and 5% on the last day of each subsequent full calendar quarter.