SEC Form 4 · accession 0001654954-18-010573

Monopar Therapeutics · MNPR

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Scientific Officer · Director · 10% Owner

Period of report

Aug 9, 2018

Accepted (ET)

Sep 27, 2018 · 6:32 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001645469

Table I — non-derivative securities

Security	Date	Code	Shares	A/D	Owned after	D/I	Nature of ownership
Common stock	holding	—	—	—	14,003	D
Common stock^F1	holding	—	—	—	4,111,273	I	See Footnote (1)
Common stock^F2	holding	—	—	—	166,667	I	See Footnote (2)

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock options^F3	$6.00	Aug 9, 2018	A	134,300	A	Apr 1, 2019	Aug 8, 2028	Common stock	134,300	134,300	D

F1This is based upon the 4,111,272.88 shares of Monopar Common Stock that Tactic Pharma LLC indirectly controls through TacticGem LLC. As a manager of Tactic Pharma LLC, Dr. Mazar may be deemed to share voting and dispositive power over these 4,111,272.88 shares. Dr. Mazar disclaims beneficial ownership of the 4,111,272.88 shares held by Tactic Pharma LLC, except to the extent of his pecuniary interest therein.
F2This is based upon the 166,667 shares of Monopar Common Stock that Tactic Pharma LLC directly owns. As a manager of Tactic Pharma LLC, Dr. Mazar may be deemed to share voting and dispositive power over these 166,667 shares. Dr. Mazar disclaims beneficial ownership of the 166,667 shares held by Tactic Pharma LLC, except to the extent of his pecuniary interest therein.
F3Stock options vest 6/51 on the six-month anniversary of vesting commencement date of October 1, 2018 and 1/51 per month thereafter.