0001654954-22-014266.txt : 20221026 0001654954-22-014266.hdr.sgml : 20221026 20221026214836 ACCESSION NUMBER: 0001654954-22-014266 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221024 FILED AS OF DATE: 20221026 DATE AS OF CHANGE: 20221026 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wu Hui-Lan CENTRAL INDEX KEY: 0001901988 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41461 FILM NUMBER: 221334668 MAIL ADDRESS: STREET 1: 8880 RIO SAN DIEGO DRIVE STREET 2: SUITE 800 CITY: SAN DIEGO STATE: CA ZIP: 92108 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Ainos, Inc. CENTRAL INDEX KEY: 0001014763 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 751974352 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: AINOS, INC. STREET 2: 8880 RIO SAN DIEGO DRIVE SUITE 800 CITY: SAN DIEGO STATE: CA ZIP: 92108 BUSINESS PHONE: 858-869-2986 MAIL ADDRESS: STREET 1: AINOS, INC. STREET 2: 8880 RIO SAN DIEGO DRIVE SUITE 800 CITY: SAN DIEGO STATE: CA ZIP: 92108 FORMER COMPANY: FORMER CONFORMED NAME: AMARILLO BIOSCIENCES INC DATE OF NAME CHANGE: 19960516 4 1 section16.xml PRIMARY DOCUMENT X0306 4 2022-10-24 0001014763 Ainos, Inc. AIMD 0001901988 Wu Hui-Lan 8880 RIO SAN DIEGO DRIVE, SUITE 800 SAN DIEGO CA 92108 false true false false Chief Financial Officer Common Stock 2022-08-09 4 A false 14705 3.40 A 18905 I Daughter Common Stock 2022-10-24 4 A false 133333 1.89 A 144533 D RSU 1.89 2022-10-24 4 C false 2000000 1.89 D 2022-09-30 COMMON 133333 0 D RSU 2022-10-24 4 A false 35000 A COMMON 35000 35000 D Yun-Huan Liao is Hui-Lan Wu's daughter Reference is made to that certain Convertible Note Purchase Agreement and Convertible Promissory Note ("Note") in the principal amount of $50,000 between the Issuer and the Reporting Person's daughter, Yu-Huan Liao. The Note bears no interest, matures on March 30, 2027, and is subject to mandatory conversion at a conversion price of 80% of an initial property offering price (if the Issuer conducts an initial public offering). On 08/11/22, the Company completed a public offering at a $4.25 per unit price ("Offering") and a 15-for-1 reverse stock split on 08/08/22 ("Reverse Split"). Transaction reflects an acquisition price of $3.40 per share (80% of the Offering) and the 14,705 issued shares give effect to the Reverse Split. This reported transaction represents the settlement of 2,000,000 RSUs adjusted to 133,333 common stock after giving effect the Reverse Stock Split This reported transaction represents the conversion of 2,000,000 Restricted Stock Units (the "RSUs") adjusted to 133,333 shares giving effect to the Reverse Stock Split. The RSUs were originally granted pursuant to an employment Mandate Agreement dated March 17, 2022 (the "Mandate Agreement") under the Company's 2021 Stock Incentive Plan. The converted shares underlying the RSUs vested on September 30, 2022 and are may not be sold within 6 months of the grant date. This reported transaction represents the granting of 35,000 Restricted Stock Units (the "RSUs"). The RSUs were originally authorized pursuant to an employment Mandate Agreement dated March 17, 2022 (the "Mandate Agreement") and under the Company's 2021 Stock Incentive Plan. The RSUs will vest in increments of 15% on 4/24/23 and 10/24/23, 30% on 10/24/24 and 40% on 10/24/25, subject to normal and customary termination events. N/A /s/ John Junyong Lee POA for Hui-Lan Wu 2022-10-26