Sec Form 4 Filing - LIN LAWRENCE K @ Ainos, Inc. - 2023-11-24

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
LIN LAWRENCE K
2. Issuer Name and Ticker or Trading Symbol
Ainos, Inc. [ AIMD]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
E.V.P. OF OPERATIONS
(Last) (First) (Middle)
8880 RIO SAN DIEGO DRIVE, SUITE 800
3. Date of Earliest Transaction (MM/DD/YY)
11/24/2023
(Street)
SAN DIEGO, CA92108
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock ( 1 ) 11/24/2023 A 10,000 A $ 0.6 54,504 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Warrants ( 2 ) ( 2 ) 11/24/2023( 2 ) A 30,174 ( 2 ) ( 2 ) Warrants 30,174 ( 2 ) 30,174 I owned by i2China
Options ( 3 ) ( 3 ) 11/24/2023( 3 ) A 11,111 ( 3 ) ( 3 ) Options 11,111 ( 3 ) 11,111 D
RSU ( 4 ) ( 4 ) 11/24/2023( 4 ) A 12,000 ( 4 ) ( 4 ) RSU 12,000 ( 4 ) 12,000 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
LIN LAWRENCE K
8880 RIO SAN DIEGO DRIVE, SUITE 800
SAN DIEGO, CA92108
E.V.P. OF OPERATIONS
Signatures
/s/ John Junyong Lee per POA for Lin, Lawrence K 11/28/2023
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Reference is a made to a Special Stock Award pursuant to approval on October 11, 2023 by the Company's Board of Directors and Shareholders by Action by Written Consent. Prior to the Special Stock Award, Mr. Lin beneficially owned 44,504 common stock consisting of 16,947 held individually and 27,577 owned by i2China Management LLC of which Mr. Lin is the sole member.
( 2 )Reference is made to 30,174 shares reserved for warrants, beneficially owned by i2China on demand.
( 3 )Reference is made to 11,111 options vested from the Company's 2018 NQSOP.
( 4 )Reference is made to 12,000 RSUs that were granted on August 15, 2013 pursuant to the Company's 2023 Stock Incentive Plan. The RSUs vest in increments of 15% on 2/15/24, 15% on 8/15/24, 30% on 8/15/25, and 40% on 8/15/26 subject to normal and customary termination events.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).

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