SEC Form 3 · accession 0001654954-18-000212
Monopar Therapeutics · MNPR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Arthur J Klausner
Director
Gem Pharmaceuticals LLC
10% Owner
Diane Hendricks
10% Owner
Karl Leo
10% Owner
Pharma Investments LLC
10% Owner
Period of report
Jan 8, 2018
Accepted (ET)
Jan 8, 2018 · 7:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001645469
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stockF1,F2 | holding | — | — | — | 3,055,394 | I | See Footnotes (1) and (2) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Form 3 is being filed on behalf of Gem Pharmaceuticals, LLC, an Alabama limited liability company ("Gem"), and its managers, Diane Hendricks, Karl Leo, and Arthur Klausner, and Pharma Investments ("Pharma") and its controlling shareholders, Karl Leo and Diane Hendricks (collectively, the "Reporting Persons"). The managers of Gem collectively have voting control over the securities described herein. Pharma owns a controlling share of Gem and Karl Leo and Diane Hendricks own a controlling share of Pharma, so Pharma and its controlling shareholders have indirect control over the securities described herein. The managers of Gem and the controlling shareholders of Pharma each disclaim ownership of the shares of common stock owned by Gem, except to the extent of their pecuniary interest therein.
- F2Gem shares voting and investment power over 3,055,394.12 of the shares of common stock held by TacticGem LLC.