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FCUV insider filing: 481,830 direct, 700,170 indirect shares

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
5/A

Rhea-AI Filing Summary

Focus Universal (FCUV) insider Edward Lee filed an amended Form 5 for the fiscal year ended 12/31/2024. He reports beneficial ownership of 1,182,000 shares, comprising 481,830 shares held directly and 700,170 shares held indirectly.

Lee is listed as a Director and 10% Owner. Reported activity includes journal entries and transfers among direct holdings and affiliated foundations, such as on 01/02/2024 (J codes) moving 4,000,000 shares between direct ownership and the Lee Gu Private Foundation at $15, and an A code acquisition of 1,000,000 shares on 09/23/2024 at $3.3. Earlier entries in 2022 show foundation-related adjustments at prices around $89.8–$90.3333.

The reported share amounts reflect corporate actions: a 1.5‑for‑1 forward split on 03/23/2023 and a 1‑for‑10 reverse split effective 01/31/2025, which affect the share counts presented in this statement.

Positive

  • None.

Negative

  • None.
Insider Lee Edward Shihai
Role Director, 10% Owner
Type Security Shares Price Value
Grant/Award Common Stock 1,000,000 $3.30 $3.30M
Other Common Stock 4,000,000 $15.00 $60.00M
Other Common Stock 4,000,000 $15.00 $60.00M
Other Common Stock 80,000 $15.00 $1.20M
Other Common Stock 50,000 $15.00 $750K
Other Common Stock 80,000 $90.3333 $7.23M
Gift Common Stock 11,000 $90.3333 $994K
Other Common Stock 500,000 $89.80 $44.90M
Other Common Stock 500,000 $89.80 $44.90M
Holdings After Transaction: Common Stock — 245,670 shares (Indirect, By the Lee Gu Foundation); Common Stock — 4,000,000 shares (Indirect, By the Lee Gu Private Foundation); Common Stock — 74,750 shares (Indirect, By the Lee Gu Family Foundation); Common Stock — 481,830 shares (Direct)
Footnotes (6)
  1. F1. Mr. Edward Lee beneficially owns a total of 1,182,000 shares of the Issuer's common stock, of which 481,830 shares are held directly and 700,170 shares are held indirectly.
  2. F2. Reflects a 1.5-for-1 forward stock split effective on March 23, 2023 and 1-for-10 reverse stock split effective on January 31, 2025.
  3. F3. Reflects a 1.5-for-1 forward stock split effective on March 23, 2023.
  4. F4. Reflects a 1.5-for-1 forward stock split effective on March 23, 2023.
  5. F5. Reflects a 1-for-10 reverse stock split effective on January 31, 2025.
  6. F6. Reflects a 1-for-10 reverse stock split effective on January 31, 2025.

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SEC Form 5
FORM 5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0362
Estimated average burden
hours per response: 1.0
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Form 3 Holdings Reported.
Form 4 Transactions Reported.
1. Name and Address of Reporting Person*
Lee Edward Shihai
(Last) (First) (Middle)
C/O FOCUS UNIVERSAL INC.
2311 EAST LOCUST COURT
(Street)
ONTARIO CA 91761
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
FOCUS UNIVERSAL INC. [ FCUV ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
Officer (give title below) Other (specify below)
3. Statement for Issuer's Fiscal Year Ended (Month/Day/Year)
12/31/2024
4. If Amendment, Date of Original Filed (Month/Day/Year)
02/19/2025 		6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Amount (A) or (D) Price
Common Stock(1) 07/14/2022 07/14/2022 J 500,000 D $89.8 5,212,200 D
Common Stock 07/14/2022 07/14/2022 J 500,000 A $89.8 245,670(2) I By the Lee Gu Foundation
Common Stock 07/20/2022 07/20/2022 J 80,000 D $90.3333 596,000 I By the Lee Gu Family Foundation
Common Stock 07/20/2022 07/20/2022 G 11,000 D $90.3333 585,000 I By the Lee Gu Family Foundation
Common Stock 01/02/2024 01/02/2024 J 4,000,000 D $15 3,818,300(3) D
Common Stock 01/02/2024 01/02/2024 J 4,000,000 A $15 4,000,000 I By the Lee Gu Private Foundation
Common Stock 01/02/2024 01/02/2024 J 80,000 D $15 797,500(4) I By the Lee Gu Family Foundation
Common Stock 01/02/2024 01/02/2024 J 50,000 D $15 74,750(5) I By the Lee Gu Family Foundation
Common Stock 09/23/2024 09/23/2024 A 1,000,000 A $3.3 481,830(6) 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 (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 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 (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
(A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Mr. Edward Lee beneficially owns a total of 1,182,000 shares of the Issuer's common stock, of which 481,830 shares are held directly and 700,170 shares are held indirectly.
2. Reflects a 1.5-for-1 forward stock split effective on March 23, 2023 and 1-for-10 reverse stock split effective on January 31, 2025.
3. Reflects a 1.5-for-1 forward stock split effective on March 23, 2023.
4. Reflects a 1.5-for-1 forward stock split effective on March 23, 2023.
5. Reflects a 1-for-10 reverse stock split effective on January 31, 2025.
6. Reflects a 1-for-10 reverse stock split effective on January 31, 2025.
/s/ Edward Lee 10/22/2025
** Signature of Reporting Person Date
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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR