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[8-K] Focus Universal Inc. Reports Material Event

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Form Type
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Rhea-AI Filing Summary

Aware, Inc. (AWRE) � Form 4 insider transaction

Director Brian D. Connolly reported a single transaction dated July 1 2025 coded �M,� indicating the exercise of previously granted equity awards. Connolly acquired 25,671 common shares at a stated price of $0.00 per share, suggesting a cost-free option or restricted-stock conversion. Following the exercise, his directly held stake increased to 218,784 shares.

No shares were sold and no derivative positions remain disclosed in Table II, implying the move strictly augments Connolly’s long equity exposure. Insiders converting options without an immediate sale can be viewed as a moderate vote of confidence, although such exercises may also be linked to award expiration schedules.

Aware, Inc. (AWRE) � Transazione interna Form 4

Il direttore Brian D. Connolly ha segnalato una singola transazione datata 1 luglio 2025 con codice �M�, che indica il esercizio di premi azionari precedentemente assegnati. Connolly ha acquisito 25.671 azioni ordinarie a un prezzo indicato di $0,00 per azione, suggerendo un’opzione a costo zero o una conversione di azioni vincolate. Dopo l’esercizio, la sua partecipazione detenuta direttamente è aumentata a 218.784 azioni.

Non sono state vendute azioni e non risultano posizioni derivate indicate nella Tabella II, il che implica che l’operazione aumenta esclusivamente l’esposizione azionaria diretta di Connolly. La conversione di opzioni da parte degli insider senza una vendita immediata può essere interpretata come un moderato segnale di fiducia, anche se tali esercizi possono essere legati ai termini di scadenza dei premi.

Aware, Inc. (AWRE) � Transacción interna Formulario 4

El director Brian D. Connolly reportó una única transacción fechada el 1 de julio de 2025 con código �M�, que indica el ejercicio de premios de acciones previamente otorgados. Connolly adquirió 25,671 acciones comunes a un precio declarado de $0.00 por acción, lo que sugiere una opción sin costo o conversión de acciones restringidas. Tras el ejercicio, su participación directa aumentó a 218,784 acciones.

No se vendieron acciones ni quedan posiciones derivadas divulgadas en la Tabla II, lo que implica que la acción aumenta estrictamente la exposición directa de Connolly al capital. La conversión de opciones por parte de los insiders sin una venta inmediata puede interpretarse como una señal moderada de confianza, aunque tales ejercicios también pueden estar vinculados a los calendarios de vencimiento de premios.

Aware, Inc. (AWRE) � Form 4 내부� 거래

이사 Brian D. Connolly2025� 7� 1�자로 �M� 코드가 붙은 단일 거래� 신고했으�, 이 기존� 부여된 주식 보상 행사� 의미합니�. Connolly� 주당 $0.00� 명시� 가격으� 25,671 보통�� 취득했으�, 이 무상 옵션 또 제한 주식 전환� 시사합니�. 행사 � 그의 직접 보유 지분은 218,784�� 증가했습니다.

주식 매도� 없었�, � II� 파생상품 포지션이 공개되지 않아 이번 거래� Connolly� 직접적인 주식 보유� 단순� 늘리� 것임� 나타냅니�. 내부자가 즉시 매도 없이 옵션� 행사하 것은 중간 정도� 신뢰 신호� � � 있으�, 이러� 행사� 보상 만료 일정과도 관련이 있을 � 있습니다.

Aware, Inc. (AWRE) � Transaction d’initié Formulaire 4

Le directeur Brian D. Connolly a déclaré une transaction unique datée du 1er juillet 2025 codée « M », indiquant l�exercice de primes d’actions précédemment attribuées. Connolly a acquis 25 671 actions ordinaires à un prix déclaré de 0,00 $ par action, suggérant une option sans coût ou une conversion d’actions restreintes. Après l’exercice, sa participation directe a augmenté à 218 784 actions.

Aucune action n’a été vendue et aucune position dérivée n’est divulguée dans le Tableau II, ce qui implique que cette opération augmente strictement l’exposition directe de Connolly au capital. L’exercice d’options sans vente immédiate peut être considéré comme un signe modéré de confiance, bien que ces exercices puissent également être liés aux calendriers d’expiration des primes.

Aware, Inc. (AWRE) � Insider-Transaktion Form 4

Direktor Brian D. Connolly meldete eine einzelne Transaktion vom 1. Juli 2025 mit dem Code �M�, der die Ausübung zuvor gewährter Aktienprämien anzeigt. Connolly erwarb 25.671 Stammaktien zu einem angegebenen Preis von pro Aktie, was auf eine kostenfreie Option oder eine Umwandlung von Restricted Stocks hindeutet. Nach der Ausübung stieg sein direkt gehaltener Anteil auf 218.784 Aktien.

Es wurden keine Aktien verkauft und keine Derivatpositionen in Tabelle II offengelegt, was darauf hindeutet, dass der Schritt ausschließlich Connollys direkte Beteiligung am Eigenkapital erhöht. Die Umwandlung von Optionen ohne sofortigen Verkauf kann als moderates Vertrauenssignal gewertet werden, obwohl solche Ausübungen auch mit Ablaufplänen von Prämien verbunden sein können.

Positive
  • Director increased direct ownership by 25,671 shares, raising total stake to 218,784 shares.
  • No shares were sold, suggesting confidence and eliminating immediate market supply.
Negative
  • None.

Insights

TL;DR: Director boosted direct ownership by 25.6k shares via option exercise; no sales, modestly positive signal.

The Form 4 shows Connolly exercised awards for 25,671 AWRE shares and retained the entire allotment, lifting his direct holding to 218,784 shares. The “M� code means the shares stem from option conversion rather than open-market purchase, so cash outlay is typically minimal. However, the absence of a concurrent sale removes near-term supply and can be interpreted as insider confidence. Position size (~11.7% increase vs. pre-transaction level) is not large enough to materially alter ownership structure or signal fundamental change, but it is directionally positive. Overall impact on valuation is limited yet favorable.

Aware, Inc. (AWRE) � Transazione interna Form 4

Il direttore Brian D. Connolly ha segnalato una singola transazione datata 1 luglio 2025 con codice �M�, che indica il esercizio di premi azionari precedentemente assegnati. Connolly ha acquisito 25.671 azioni ordinarie a un prezzo indicato di $0,00 per azione, suggerendo un’opzione a costo zero o una conversione di azioni vincolate. Dopo l’esercizio, la sua partecipazione detenuta direttamente è aumentata a 218.784 azioni.

Non sono state vendute azioni e non risultano posizioni derivate indicate nella Tabella II, il che implica che l’operazione aumenta esclusivamente l’esposizione azionaria diretta di Connolly. La conversione di opzioni da parte degli insider senza una vendita immediata può essere interpretata come un moderato segnale di fiducia, anche se tali esercizi possono essere legati ai termini di scadenza dei premi.

Aware, Inc. (AWRE) � Transacción interna Formulario 4

El director Brian D. Connolly reportó una única transacción fechada el 1 de julio de 2025 con código �M�, que indica el ejercicio de premios de acciones previamente otorgados. Connolly adquirió 25,671 acciones comunes a un precio declarado de $0.00 por acción, lo que sugiere una opción sin costo o conversión de acciones restringidas. Tras el ejercicio, su participación directa aumentó a 218,784 acciones.

No se vendieron acciones ni quedan posiciones derivadas divulgadas en la Tabla II, lo que implica que la acción aumenta estrictamente la exposición directa de Connolly al capital. La conversión de opciones por parte de los insiders sin una venta inmediata puede interpretarse como una señal moderada de confianza, aunque tales ejercicios también pueden estar vinculados a los calendarios de vencimiento de premios.

Aware, Inc. (AWRE) � Form 4 내부� 거래

이사 Brian D. Connolly2025� 7� 1�자로 �M� 코드가 붙은 단일 거래� 신고했으�, 이 기존� 부여된 주식 보상 행사� 의미합니�. Connolly� 주당 $0.00� 명시� 가격으� 25,671 보통�� 취득했으�, 이 무상 옵션 또 제한 주식 전환� 시사합니�. 행사 � 그의 직접 보유 지분은 218,784�� 증가했습니다.

주식 매도� 없었�, � II� 파생상품 포지션이 공개되지 않아 이번 거래� Connolly� 직접적인 주식 보유� 단순� 늘리� 것임� 나타냅니�. 내부자가 즉시 매도 없이 옵션� 행사하 것은 중간 정도� 신뢰 신호� � � 있으�, 이러� 행사� 보상 만료 일정과도 관련이 있을 � 있습니다.

Aware, Inc. (AWRE) � Transaction d’initié Formulaire 4

Le directeur Brian D. Connolly a déclaré une transaction unique datée du 1er juillet 2025 codée « M », indiquant l�exercice de primes d’actions précédemment attribuées. Connolly a acquis 25 671 actions ordinaires à un prix déclaré de 0,00 $ par action, suggérant une option sans coût ou une conversion d’actions restreintes. Après l’exercice, sa participation directe a augmenté à 218 784 actions.

Aucune action n’a été vendue et aucune position dérivée n’est divulguée dans le Tableau II, ce qui implique que cette opération augmente strictement l’exposition directe de Connolly au capital. L’exercice d’options sans vente immédiate peut être considéré comme un signe modéré de confiance, bien que ces exercices puissent également être liés aux calendriers d’expiration des primes.

Aware, Inc. (AWRE) � Insider-Transaktion Form 4

Direktor Brian D. Connolly meldete eine einzelne Transaktion vom 1. Juli 2025 mit dem Code �M�, der die Ausübung zuvor gewährter Aktienprämien anzeigt. Connolly erwarb 25.671 Stammaktien zu einem angegebenen Preis von pro Aktie, was auf eine kostenfreie Option oder eine Umwandlung von Restricted Stocks hindeutet. Nach der Ausübung stieg sein direkt gehaltener Anteil auf 218.784 Aktien.

Es wurden keine Aktien verkauft und keine Derivatpositionen in Tabelle II offengelegt, was darauf hindeutet, dass der Schritt ausschließlich Connollys direkte Beteiligung am Eigenkapital erhöht. Die Umwandlung von Optionen ohne sofortigen Verkauf kann als moderates Vertrauenssignal gewertet werden, obwohl solche Ausübungen auch mit Ablaufplänen von Prämien verbunden sein können.

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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 20549

 

FORM 8-K

 

CURRENT REPORT

 

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

 

Date of Report (Date of Earliest Event Reported): June 30, 2025

 

FOCUS UNIVERSAL INC.

(Exact Name of Registrant as Specified in its Charter)

 

Nevada  001-34780  46-3355876
(State or Other Jurisdiction
of Incorporation)
 

(Commission

File Number)

  (I.R.S. Employer
Identification No.)

 

2311 East Locust Street

Ontario, California

  91761
(Address of Principal Executive Offices)  (Zip Code)

 

Registrant’s Telephone Number, Including Area Code: (626) 272-3883

Registrant’s Fax Number, Including Area Code: (917) 791-8877

 

 

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, $0.001 par value per share FCUV

The Nasdaq Stock Market LLC

(Nasdaq Capital Market)

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

 

Emerging growth company

 

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 ☐.

 

 

 

   

 

 

Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.

 

On June 30, 2025, Focus Universal Inc. (the “Company”), received a letter from the Listing Qualifications Department (the “Staff”) of the Nasdaq Stock Market (“Nasdaq”). The Staff notified the Company that since the Company’s Market Value of Listed Securities has fallen below $35,000,000, the Company no longer satisfies the requirements under Nasdaq Listing Rule 5550(b)(2) (the “MVLS Rule”). The notification received has no immediate effect on the Company’s Nasdaq listing.

 

In accordance with Nasdaq Listing Rule 5810(c)(3)(C) (the “Compliance Period Rule”), the Company has been provided an initial period of 180 calendar days, or until December 29, 2025 (the “Compliance Date”), to regain compliance with the MVLS Rule. If at any time before the Compliance Date, the Company’s MVLS closes at $35,000,000 or more for a minimum of ten consecutive business days, then this matter will be closed. If the Company does not regain compliance with the MVLS Rule prior to the expiration of the Compliance Date, the Company will receive notification from the Staff that its securities are subject to delisting.

 

The Company is currently evaluating its available options to resolve the deficiency and regain compliance with the MVLS Rule.

 

The Company’s common stock will continue to be listed and traded on the Nasdaq Capital Market during the compliance period that ends on the Compliance Date, subject to the Company’s compliance with the other continued listing requirements of the Nasdaq Capital Market.

 

 

SIGNATURE

 

Pursuant to the requirements of the Securities and Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

Date: July 3, 2025

 

  FOCUS UNIVERSAL, INC.
     
     
  By: /s/ Desheng Wang
  Name: Desheng Wang
  Title: Chief Executive Officer

 

 

 

 

 

 

 

 

 

 

 

 

 

 2 

  

FAQ

How many Aware (AWRE) shares did Director Brian D. Connolly acquire?

He acquired 25,671 common shares through an option exercise.

What was the transaction date reported in the Form 4?

The transaction took place on July 1 2025.

Did the insider sell any Aware shares in this filing?

No; the filing reports an acquisition only, with no sales disclosed.

What is Connolly’s total direct ownership after the transaction?

He now directly owns 218,784 AWRE shares.

What does transaction code “M� signify on a Form 4?

Code �M� denotes the exercise or conversion of derivative securities (e.g., stock options) into common stock.
Focus Unvl Inc

NASDAQ:FCUV

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29.14M
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Scientific & Technical Instruments
Industrial Instruments for Measurement, Display, and Control
United States
ONTARIO