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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;">&#160;</p>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">FORM <ix:nonNumeric id="F_000000" name="dei:DocumentType" contextRef="C_0001878313_20230313_20230313">8-K</ix:nonNumeric>&#160;&#160;</p>
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p>
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<p style="margin-top:3pt;margin-bottom:0pt;margin-left:0pt;;text-indent:0pt;;font-size:6pt;">&#160;</p></td>
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<p style="margin-top:3pt;margin-bottom:0pt;margin-left:0pt;;text-indent:0pt;;font-size:6pt;">&#160;</p></td>
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<p style="margin-top:3pt;margin-bottom:0pt;margin-left:0pt;;text-indent:0pt;;font-size:6pt;">&#160;</p></td>
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<p style="margin-top:3pt;margin-bottom:0pt;margin-left:0pt;;text-indent:0pt;;font-size:6pt;">&#160;</p></td>
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<p style="margin-top:3pt;margin-bottom:0pt;margin-left:0pt;;text-indent:0pt;;font-size:6pt;">&#160;</p></td>
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<p style="margin-top:3pt;margin-bottom:0pt;margin-left:0pt;;text-indent:0pt;;font-size:6pt;">&#160;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;color:#000000;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Name of each exchange on which <br />registered</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><ix:nonNumeric id="F_000021" name="dei:Security12bTitle" contextRef="C_0001878313_20230313_20230313">Common Stock</ix:nonNumeric></p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p></td>
<td valign="bottom" style="background-color:#CCEEFF;padding-left:0pt;padding-Right:0pt;padding-Top:0pt;padding-Bottom:0pt;width:auto;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><ix:nonNumeric id="F_000022" name="dei:TradingSymbol" contextRef="C_0001878313_20230313_20230313">MAIA</ix:nonNumeric></p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><ix:nonNumeric id="F_000023" name="dei:SecurityExchangeName" contextRef="C_0001878313_20230313_20230313" format="ixt-sec:exchnameen">NYSE American</ix:nonNumeric></p></td>
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<p style="text-align:justify;margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR &#167;230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR &#167;240.12b-2).</p>
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<p style="margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;">&#160;</p>
<hr style="page-break-after:always" />
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;">&#160;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;">&#160;</p>
<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;;font-size:10pt;">&#160;</p>
<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Item 5.02. Departure of Directors or Principal Officers&#59; Election of Directors&#59; Appointment of Principal Officers.</p>
<p style="Background-color:#FFFFFF;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p>
<p style="text-align:justify;Background-color:#FFFFFF;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-style:italic;font-size:10pt;font-family:Times New Roman;font-weight:normal;text-transform:none;font-variant: normal;">Resignation of Laurentiu Vlad as Director</p>
<p style="text-align:justify;Background-color:#FFFFFF;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:10pt;">&#160;</p>
<p style="text-align:justify;Background-color:#FFFFFF;margin-bottom:0pt;margin-top:0pt;text-indent:7.69%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">On March 13, 2023, Laurentiu Vlad notified MAIA Biotechnology, Inc. (the &#8220;Company&#8221;) that he is resigning from the Board of Directors (the &#8220;Board&#8221;) of the Company effective on March 16, 2023,<span style="font-size:12pt;"> </span>due to personal reasons. Prior to his resignation, Mr. Vlad served as a Class III director and as a member of the Audit Committee of the Board (the &#8220;Audit Committee&#8221;).&#160;&#160;Mr. Vlad&#8217;s resignation did not involve a disagreement with the Company on any matter relating to the Company&#8217;s operations, policies or practices.</p>
<p style="text-align:justify;Background-color:#FFFFFF;margin-bottom:0pt;margin-top:0pt;text-indent:7.69%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p>
<p style="text-align:justify;Background-color:#FFFFFF;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-style:italic;font-size:10pt;font-family:Times New Roman;font-weight:normal;text-transform:none;font-variant: normal;">Election of Jean-Manass&#233; Theag&#232;ne as Director</p>
<p style="text-align:justify;Background-color:#FFFFFF;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p>
<p style="text-align:justify;Background-color:#FFFFFF;margin-bottom:0pt;margin-top:0pt;text-indent:7.69%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">On March 17, 2023, upon the recommendation of the Nominating and Corporate Governance Committee (the &#8220;Nominating Committee&#8221;) of the Board, the Board elected Jean-Manass&#233; Theag&#232;ne to serve as a Class III director of the Board, with immediate effect, until the Company&#8217;s 2025 annual meeting of stockholders, or until such time as he resigns or is removed, and his successor has been elected and qualified.  Mr. Theag&#232;ne was elected to fill the vacancy left by the resignation of Mr. Vlad.  There are no related party transactions involving Mr. Theag&#232;ne that are reportable under Item 404(a) of Regulation S-K.</p>
<p style="text-align:justify;Background-color:#FFFFFF;margin-bottom:0pt;margin-top:0pt;text-indent:7.69%;font-size:10pt;">&#160;</p>
<p style="text-align:justify;Background-color:#FFFFFF;margin-bottom:0pt;margin-top:0pt;text-indent:7.69%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Mr. Theag&#232;ne will participate in the Company&#8217;s compensation program for independent directors which is described in the Company&#8217;s Registration Statement on Form S-1 filed with the Securities and Exchange Commission on February 6, 2023.</p>
<p style="text-align:justify;Background-color:#FFFFFF;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:10pt;">&#160;</p>
<p style="text-align:justify;Background-color:#FFFFFF;margin-bottom:0pt;margin-top:0pt;text-indent:7.69%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">In connection with Mr. Theag&#232;ne&#8217;s election as director, the Company plans to enter into an indemnification agreement (the &#8220;Indemnification Agreement&#8221;) with Mr. Theag&#232;ne. The Indemnification Agreement will be substantially identical to the indemnification agreement entered into by the Company with its other directors and officers. The Indemnification Agreement will provide Mr. Theag&#232;ne with contractual rights to indemnification, expense advancement and reimbursement, to the fullest extent permitted under the Delaware General Corporation Law.</p>
<p style="text-align:justify;Background-color:#FFFFFF;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p>
<p style="text-align:justify;Background-color:#FFFFFF;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-style:italic;font-size:10pt;font-family:Times New Roman;font-weight:normal;text-transform:none;font-variant: normal;">Appointment of Stan Smith to the Audit Committee<span style="font-weight:bold;font-style:normal;"> </span></p>
<p style="text-align:justify;Background-color:#FFFFFF;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;;font-size:10pt;">&#160;</p>
<p style="text-align:justify;Background-color:#FFFFFF;margin-bottom:0pt;margin-top:0pt;text-indent:7.69%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">On March 16, 2023, the Board appointed Stan Smith as a member of the Audit Committee effective immediately to fill the vacancy on the Audit Committee that was created upon the resignation of Mr. Vlad from the Board.<span style="font-weight:bold;"> <br /></span></p>
<p style="margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;">&#160;</p>
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;">&#160;</p>

<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:15.38%;text-indent:-15.38%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">SIGNATURES</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:3.85%;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p>
<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</p>
<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Dated: March 17, 2023</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p></td>
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<td colspan="2" valign="top" style="padding-left:0pt;padding-Right:0pt;padding-Top:0pt;padding-Bottom:0pt;width:auto;white-space:nowrap;">
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">MAIA BIOTECHNOLOGY, INC.</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">By:</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-style:italic;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;text-transform:none;font-variant: normal;">/s/ Vlad Vitoc</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Name: </p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Vlad Vitoc</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Title: </p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Chief Executive Officer</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p></td>
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{"company-data": {"conformed-name": "MAIA Biotechnology, Inc.", "cik": "0001878313", "assigned-sic": "2834", "irs-number": "000000000", "state-of-incorporation": "DE", "fiscal-year-end": "1231"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "001-41455", "film-number": "23742776"}, "business-address": {"street1": "444 WEST LAKE STREET, SUITE 1700", "city": "CHICAGO", "state": "IL", "zip": "60606", "phone": "312-416-8592"}, "mail-address": {"street1": "444 WEST LAKE STREET, SUITE 1700", "city": "CHICAGO", "state": "IL", "zip": "60606"}}
maia-8k_20230313.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
8-K
Current Report
Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934
March 13, 2023
Date of Report (Date of earliest event reported)
MAIA Biotechnology, Inc.
(Exact name of registrant as specified in its charter)
Delaware
001-41455
83-1495913
(State or other jurisdiction
of incorporation)
(Commission File Number)
(IRS Employer
Identification No.)
444 West Lake Street, Suite 1700
Chicago
,
IL
60606
(Address of principal executive offices)
(Zip Code)
Registrant's telephone number, including area code:
(312)
416-8592
N/A
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of each class
Trading Symbol(s)
Name of each exchange on which
registered
Common Stock
MAIA
NYSE American
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).
Emerging growth company
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If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
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Item 5.02. Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers.
Resignation of Laurentiu Vlad as Director
On March 13, 2023, Laurentiu Vlad notified MAIA Biotechnology, Inc. (the "Company") that he is resigning from the Board of Directors (the "Board") of the Company effective on March 16, 2023,
due to personal reasons. Prior to his resignation, Mr. Vlad served as a Class III director and as a member of the Audit Committee of the Board (the "Audit Committee").  Mr. Vlad's resignation did not involve a disagreement with the Company on any matter relating to the Company's operations, policies or practices.
Election of Jean-Manassé Theagène as Director
On March 17, 2023, upon the recommendation of the Nominating and Corporate Governance Committee (the "Nominating Committee") of the Board, the Board elected Jean-Manassé Theagène to serve as a Class III director of the Board, with immediate effect, until the Company's 2025 annual meeting of stockholders, or until such time as he resigns or is removed, and his successor has been elected and qualified.  Mr. Theagène was elected to fill the vacancy left by the resignation of Mr. Vlad.  There are no related party transactions involving Mr. Theagène that are reportable under Item 404(a) of Regulation S-K.
Mr. Theagène will participate in the Company's compensation program for independent directors which is described in the Company's Registration Statement on Form S-1 filed with the Securities and Exchange Commission on February 6, 2023.
In connection with Mr. Theagène's election as director, the Company plans to enter into an indemnification agreement (the "Indemnification Agreement") with Mr. Theagène. The Indemnification Agreement will be substantially identical to the indemnification agreement entered into by the Company with its other directors and officers. The Indemnification Agreement will provide Mr. Theagène with contractual rights to indemnification, expense advancement and reimbursement, to the fullest extent permitted under the Delaware General Corporation Law.
Appointment of Stan Smith to the Audit Committee
On March 16, 2023, the Board appointed Stan Smith as a member of the Audit Committee effective immediately to fill the vacancy on the Audit Committee that was created upon the resignation of Mr. Vlad from the Board.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Dated: March 17, 2023
MAIA BIOTECHNOLOGY, INC.
By:
/s/ Vlad Vitoc
Name:
Vlad Vitoc
Title:
Chief Executive Officer