SEC Form 4 · accession 0001654954-18-010576
Monopar Therapeutics · MNPR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Arthur J Klausner
Director
Period of report
Aug 9, 2018
Accepted (ET)
Sep 27, 2018 · 6:42 pm EDT
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 stock | holding | — | — | — | 5,000 | D | ||
| Common stockF1 | holding | — | — | — | 3,055,394 | I | See Footnote (1) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock optionsF2 | $6.00 | Aug 9, 2018 | A | 26,100 | A | Jan 1, 2019 | Aug 8, 2028 | Common stock | 26,100 | 26,100 | D |
Explanation of responses
- F1This is based upon the 3,055,394 shares of Monopar Common Stock that Gem Pharmaceuticals, LLC, indirectly controls through TacticGem LLC. As a manager of Gem Pharmaceuticals, LLC, Mr. Klausner may be deemed to share voting and dispositive power over these 3,055,394 shares. Mr. Klausner disclaims beneficial ownership of the 3,055,394 shares held by Gem Pharmaceuticals, LLC, except to the extent of his pecuniary interest therein.
- F2Stock options vest 20% on January 1, 2019, 20% on April 1, 2019, 20% on July 1, 2019, 20% on October 1, 2019 and 20% on January 1, 2020.