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Filing Details

Accession Number:: 0001683168-22-006196
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2022-09-02 21:59:59
Reporting Period:: 2022-08-17

Accepted Time:: 2022-09-02 21:59:59
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1590418	Focus Universal Inc.	FCUV	Industrial Instruments For Measurement, Display, And Control (3823)	463355876

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1641070	Ross Michael Pope	C/O Focus Universal Inc. 2311 East Locust Court Ontario CA 91761		Yes	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2022-08-17	14,677	$5.70	14,677	No	4	A	Direct
Common Stock	Acquisiton	2022-08-17	10,968	$3.00	25,645	No	4	A	Direct
Common Stock	Acquisiton	2022-08-17	1,804	$8.86	27,449	No	4	A	Direct
Common Stock	Disposition	2022-08-31	12,410	$10.66	15,039	No	4	S	Direct
Common Stock	Disposition	2022-08-31	10,000	$10.46	20,150	No	4	S	Indirect	See footnote
Common Stock	Disposition	2022-09-01	4,000	$10.06	16,150	No	4	S	Indirect	See footnote
Common Stock	Disposition	2022-09-02	16,150	$10.21	0	No	4	S	Indirect	See footnote
Common Stock	Disposition	2022-09-02	13,493	$10.06	1,546	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	A	Direct
No	4	A	Direct
No	4	A	Direct
No	4	S	Direct
No	4	S	Indirect	See footnote
No	4	S	Indirect	See footnote
No	4	S	Indirect	See footnote
No	4	S	Direct

Footnotes

Represents a cashless exercise of outstanding stock options to purchase 30,000 shares of common stock. The Reporting Person received 14,677 shares of common stock and surrendered 15,323 shares of common stock underlying the stock option in payment of the exercise price.
Represents a cashless exercise of outstanding stock options to purchase 15,000 shares of common stock. The Reporting Person received 10,968 shares of common stock and surrendered 4,032 shares of common stock underlying the stock option in payment of the exercise price.
Represents a cashless exercise of outstanding stock options to purchase 8,750 shares of common stock. The Reporting Person received 1,804 shares of common stock and surrendered 6,946 shares of common stock underlying the stock option in payment of the exercise price.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.50 to $10.80, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.43 to $10.53, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The shares of Common Stock reported on this line are held by an entity owned and controlled by the Reporting Person.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.16 to $10.31, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.95 to $10.40, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.