---
schema_version: "secwatch.filing_event.v1"
accession: "0001193125-23-279380"
form_type: "8-K"
ticker: "MAIA"
cik: "0001878313"
company_name: "MAIA Biotechnology, Inc."
filed_at: "2023-11-17T23:59:59+00:00"
generated_at: "2026-06-08T00:27:47.130858+00:00"
event_type: "other_material"
sentiment: "neutral"
materiality_score: 0.65
calibrated_materiality_score: 0.65
confidence: "high"
source: SEC EDGAR
---

# MAIA Biotechnology raises $4M in registered direct offering; discloses NYSE American equity non-compliance

## Summary
- Sold 2,424,243 shares at $1.65/sh; warrants exercisable at $1.86/sh for 5.5 years.
- Gross proceeds ~$4M; net to company ~$3.47M; closing expected Nov 17, 2023.
- NYSE American orally advised MAIA it fails stockholders' equity standard ($2.7M vs $4M minimum).
- Company believes after offering stockholders' equity will exceed $4M, addressing non-compliance.
- H.C. Wainwright acted as exclusive placement agent; lock-up agreements for 60 days.

## SEC filing metadata
- accession: 0001193125-23-279380
- form_type: 8-K
- ticker: MAIA
- cik: 0001878313
- company_name: MAIA Biotechnology, Inc.
- filed_at: 2023-11-17T23:59:59+00:00
- event_type: other_material
- sentiment: neutral
- materiality_score: 0.65
- calibrated_materiality_score: 0.65
- confidence: high
- sec_items: 1.01, 3.02, 8.01, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1878313/000119312523279380/0001193125-23-279380-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1878313/000119312523279380/d614732d8k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001193125-23-279380
- JSON: https://secwatch.observer/filing/0001193125-23-279380.json
- Plain text: https://secwatch.observer/filing/0001193125-23-279380.txt

## Key facts
- Material Agreements
  MAIA Biotechnology, Inc. entered into Securities Purchase Agreement with three institutional accredited investors valued at gross proceeds of approximately $4.0 million (effective 2023-11-15).
  - Action: entry
  - Agreement: equity purchase
  - Counterparty: three institutional accredited investors
  - Value: gross proceeds of approximately $4.0 million
  - Effective: 2023-11-15
  source text: On November 15, 2023, MAIA Biotechnology, Inc. (the “Company”) entered into a Securities Purchase Agreement (the “Purchase Agreement”) with three institutional accredited investors (the “Investors”) pursuant to which the Company agreed to issue and sell, in a registered direct offering priced at-the-market under the rules of NYSE American (the “Registered Offering”), 2,424,243 shares (the “Shares”) of common stock of the Company, par value $0.0001 per share (the “Common Stock”), at a price per Share of $1.65.
  evidence_url: https://www.sec.gov/Archives/edgar/data/1878313/000119312523279380/0001193125-23-279380-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.