Form 4/A for FCUV FOCUS UNIVERSAL INC.
Accepted 2022-04-04 00:00:00 ET · period of report 2021-01-07 · accession 0001683168-22-002328 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MAI | 2022-04-04 | 2021-01-07+ | FCUV | Lee Edward Shihai | Dir, 10% | G - Gift | — | +1.64M | 892.8K | New | — |
| MA | 2022-04-04 | 2021-01-07+ | FCUV | Lee Edward Shihai | Dir, 10% | G - Gift | — | -1.64M | 7.46M | -18% | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common stock | 2021-01-07 | G | A | 142,800 | — | 142,800 | I See Footnote | — | — | (F1) 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. (F2) 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. |
| 2 | Common | Common stock | 2021-02-01 | G | D | 125,000 | — | 7,332,200 | D See Footnote | — | — | (F2) 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. (F3) 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 | Common | Common stock | 2021-02-01 | G | A | 125,000 | — | 267,800 | I See Footnote | — | — | (F2) 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. (F4) 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 | Common | Common stock | 2021-02-04 | G | D | 125,000 | — | 7,207,200 | D See Footnote | — | — | (F3) 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. (F5) 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. |
| 5 | Common | Common stock | 2021-02-04 | G | A | 125,000 | — | 392,800 | I See Footnote | — | — | (F3) 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. (F6) 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. |
| 6 | Common | Common stock | 2021-02-10 | G | D | 125,000 | — | 7,082,200 | D See Footnote | — | — | (F4) 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. (F7) 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. |
| 7 | Common | Common stock | 2021-02-10 | G | A | 125,000 | — | 517,800 | I See Footnote | — | — | (F4) 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. (F8) 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. |
| 8 | Common | Common stock | 2021-02-10 | G | D | 125,000 | — | 6,957,200 | D See Footnote | — | — | (F5) 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. (F9) 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. |
| 9 | Common | Common stock | 2021-02-10 | G | A | 125,000 | — | 125,000 | I | — | — | (F5) 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. |
| 10 | Common | Common stock | 2021-02-10 | G | D | 125,000 | — | 6,832,200 | D | — | — | (F6) 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. |
| 11 | Common | Common stock | 2021-02-10 | G | A | 125,000 | — | 125,000 | I | — | — | (F6) 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. |
| 12 | Common | Common stock | 2021-03-01 | G | D | 250,000 | — | 6,582,200 | D | — | — | (F7) 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. |
| 13 | Common | Common stock | 2021-03-01 | G | A | 250,000 | — | 375,000 | I | — | — | (F7) 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. |
| 14 | Common | Common stock | 2021-03-01 | G | D | 250,000 | — | 6,332,200 | D | — | — | (F8) 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. |
| 15 | Common | Common stock | 2021-03-01 | G | A | 250,000 | — | 375,000 | I | — | — | (F8) 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. |
| 16 | Common | Common stock | 2021-03-03 | G | D | 375,000 | — | 5,957,200 | D | — | — | (F9) 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. |
| 17 | Common | Common stock | 2021-03-03 | G | A | 375,000 | — | 892,800 | I | — | — | (F9) 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. |
| 18 | Common | Common stock | 2021-01-07 | G | D | 142,800 | — | 7,457,200 | D See Footnote | — | — | (F1) 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. |