Vlad Vitoc Files SC 13D for MAIA Biotechnology

TL;DR

**Vitoc files 13D on MAIA Bio. Big ownership change incoming?**

AI Summary

Vlad Vitoc filed an SC 13D on October 25, 2024, regarding MAIA Biotechnology, Inc. The filing indicates a change in beneficial ownership of the company's common stock. Vitoc's business and mailing address are listed as 444 West Lake Street, Suite 1700, Chicago, IL 60606.

Why It Matters

This filing signals a potential shift in control or significant stake acquisition in MAIA Biotechnology, Inc., which could impact the company's stock price and strategic direction.

Risk Assessment

Risk Level: medium — Schedule 13D filings often precede significant corporate actions or changes in control, introducing uncertainty and potential volatility.

Key Players & Entities

• Vlad Vitoc (person) — Filing person and beneficial owner
• MAIA Biotechnology, Inc. (company) — Subject company
• Richard A. Friedman, Esq. (person) — Legal counsel
• Greg Carney, Esq. (person) — Legal counsel
• Sheppard Mullin Richter & Hampton LLP (company) — Legal firm

FAQ

Key Financial Figures

• $0.0001 — INC. (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securiti

Filing Documents

• d901744dsc13d.htm (SC 13D) — 30KB
• 0001193125-24-244214.txt ( ) — 31KB

From the Filing

SC 13D 1 d901744dsc13d.htm SC 13D SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.__) MAIA BIOTECHNOLOGY, INC. (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) 552641 102 (CUSIP Number) Vlad Vitoc 444 West Lake Street, Suite 1700 Chicago, IL 60606 Telephone: (312) 416-8592 With a copy to: Richard A. Friedman, Esq. Greg Carney, Esq. Sheppard Mullin Richter & Hampton LLP 30 Rockefeller Plaza New York, New York 10112 (212) 653-8700 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) October 25, 2024 (Date of Event Which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. * The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). 1 NAME OF REPORTING PERSONS Vlad Vitoc 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)(b) 3 SEC USE ONLY 4 SOURCE OF FUNDS PF 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) 6 CITIZENSHIP OR PLACE OF ORGANIZATION United NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER 3,079,191 (1) 8 SHARED VOTING POWER 438,159 (1) 9 SOLE DISPOSITIVE POWER 3,079,191 (1) 10 SHARED DISPOSITIVE POWER 438,159 (1) 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,517,350 (1) 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13.29%(2) 14 TYPE OF REPORTING PERSON IN (1) Consists of 3,517,350 shares consisting of: (i) 809,121 shares of common stock directly held by Mr. Vitoc and 210,000 shares of common stock directly held by his spouse, and (ii) 2,270,070 shares of common stock issuable upon the exercise of stock options and warrants directly held by Mr. Vitoc, 28,159 shares of common stock issuable upon the exercise of stock options directly held by Mr. Vitocs spouse, 100,000 shares of common stock issuable upon the exercise of stock options directly held by MAIA Laetitia Cristian Vitoc 2022 MAIA Irrevocable Trust, for the benefit of Mr. Vitocs child, for which Mr. Vitocs spouse serves as trustee, and 100,000 shares of common stock issuable upon the exercise of stock options directly held by Leia Violeta Ioana Vitoc 2022 MAIA Irrevocable Trust, for the benefit of Mr. Vitocs child, for which Mr. Vitocs spouse serves as trustee. Mr. Vitoc disclaims beneficial ownership of the shares beneficially owned by his spouse, MAIA Laetitia Cristian Vitoc 2022 MAIA Irrevocable Trust, and Leia Violeta Ioana Vitoc 2022 MAIA Irrevocable Trust (2) Based on 26,465,043 shares of Common Stock outstanding as of September 30, 2024, calculated by adding (i) the 23,966,814 shares of Common Stock outstanding as of September 30, 2024 according to the Companys records, and (ii) the 2,498,229 shares of Common Stock beneficially owned by the Reporting Person, which are issuable upon the conversion of options and warrants exercisable within 60 days of the date hereof. Item1. Security and Issuer. This Statement of Beneficial Ownership on Schedule 13D is filed by the Reporting Person (as defined below) on October 25, 2024, (this principal executive offices are located at 444 West Lake Street, Suite 1700, Chicago, IL 60606. Item2. Identity and Background. This Statement is filed by Vlad Vitoc. Mr. Vitoc is the Chief Executive Officer and Chairman of the Board of Directors of the Company. The principal business address of Mr. Vitoc is 444 West Lake Street, Suite 1700, Chicago, IL 60606. Mr. Vitoc is a citizen of the United States. The foregoing person is sometimes referred to herein as the Reporting Person. The Reporting Person has not during the last five years been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors). The Reporting Person has not during the last five years been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations

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View this SC 13D filing on SEC EDGAR