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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | 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. | SEC 2270 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gu Jennifer Lingjie C/O FOCUS UNIVERSAL INC. 2311 EAST LOCUST STREET ONTARIO, CA 91761 |
X | X |
/s/ Gilbert J. Bradshaw, Attorney-in-Fact for Jennifer Gu | 04/04/2022 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Edward Lee, the Reporting Person's spouse, transferred 142,800 shares of the Issuer's Common Stock to himself and the Reporting Person as trustees of the Lee-Gu Foundation. |
(2) | Edward Lee, the Reporting Person's spouse, transferred 125,000 shares of the Issuer's Common Stock to himself and the Reporting Person as trustees of the Lee-Gu Foundation. |
(3) | Edward Lee, the Reporting Person's spouse, transferred 125,000 shares of the Issuer's Common Stock to himself and the Reporting Person as trustees of the Lee-Gu Foundation. |
(4) | Edward Lee, the Reporting Person's spouse, transferred 125,000 shares of the Issuer's Common Stock to himself and the Reporting Person as trustees of the Lee-Gu Foundation. |
(5) | Edward Lee, the Reporting Person's spouse, transferred 125,000 shares of the Issuer's Common Stock to the Brandon Lee Irrevocable Trust, the beneficiary of which is the Reporting Person's child. The Reporting Person may be deemed to have indirect beneficial ownership of these 125,000 shares of the Issuer's Common Stock through her child. |
(6) | Edward Lee, the Reporting Person's spouse, transferred 125,000 shares of the Issuer's Common Stock to the Isabella Lee Irrevocable Trust, the beneficiary of which is the Reporting Person's child. The Reporting Person may be deemed to have indirect beneficial ownership of these 125,000 shares of the Issuer's Common Stock through her child. |
(7) | Edward Lee, the Reporting Person's spouse, transferred 250,000 shares of the Issuer's Common Stock to the Brandon Lee Irrevocable Trust, the beneficiary of which is the Reporting Person's child. The Reporting Person may be deemed to have indirect beneficial ownership of these 250,000 shares of the Issuer's Common Stock through her child. |
(8) | Edward Lee, the Reporting Person's spouse, transferred 250,000 shares of the Issuer's Common Stock to the Isabella Lee Irrevocable Trust, the beneficiary of which is the Reporting Person's child. The Reporting Person may be deemed to have indirect beneficial ownership of these 250,000 shares of the Issuer's Common Stock through her child. |
(9) | Edward Lee, the Reporting Person's spouse, transferred 375,000 shares of the Issuer's Common Stock to himself and the Reporting Person as trustees of the Lee-Gu Foundation. |
(10) | Edward Lee, the Reporting Person's spouse, transferred 245,000 shares of the Issuer's Common Stock to himself and the Reporting Person as trustees of the Lee-Gu Foundation. |
(11) | The Reporting Person and Edward Lee, the Reporting Person's spouse, as trustees of the Lee-Gu Family Foundation, donated 70,000 shares of the Issuer's Common Stock to the Asian Pacific Community Fund. |
(12) | The Reporting Person and Edward Lee, the Reporting Person's spouse, as trustees of the Lee-Gu Family Foundation, donated 13,000 shares of the Issuer's Common Stock to the First Evangelical Church of Diamond Bar. |
Remarks: Edward Lee, the Reporting Person's spouse, made these transactions for estate planning purposes; however, he could only medallion signature guarantee certain amounts of shares per week, which is why there are multiple transactions. |