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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT 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 1474 (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 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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lee Edward Shihai C/O FOCUS UNIVERSAL INC. 2311 EAST LOCUST COURT ONTARIO, CA 91761 |
X | X |
/s/ Gilbert J. Bradshaw, Attorney-in-Fact for Edward Lee | 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) | The Reporting Person transferred 142,800 shares of the Issuer's Common Stock to the Reporting Person and Jennifer Gu, the Reporting Person's spouse, as trustees of the Lee-Gu Foundation. |
(2) | The Reporting Person transferred 125,000 shares of the Issuer's Common Stock to the Reporting Person and Jennifer Gu, the Reporting Person's spouse, as trustees of the Lee-Gu Foundation. |
(3) | The Reporting Person transferred 125,000 shares of the Issuer's Common Stock to the Reporting Person and Jennifer Gu, the Reporting Person's spouse, as trustees of the Lee-Gu Foundation. |
(4) | The Reporting Person transferred 125,000 shares of the Issuer's Common Stock to the Reporting Person and Jennifer Gu, the Reporting Person's spouse, as trustees of the Lee-Gu Foundation. |
(5) | The Reporting Person 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 his child. |
(6) | The Reporting Person 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 his child. |
(7) | The Reporting Person 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 his child. |
(8) | The Reporting Person 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 his child. |
(9) | The Reporting Person transferred 375,000 shares of the Issuer's Common Stock to the Reporting Person and Jennifer Gu, the Reporting Person's spouse, as trustees of the Lee-Gu Foundation. |
Remarks: The Reporting Person made these changes for estate planning purposes, but he could only medallion signature guarantee certain amounts of shares per week which why there are multiple transfers. |