SEC Form 4 · accession 0001213900-17-006620
EXICURE, INC. · XCUR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark N. Tompkins
Director · 10% Owner
Period of report
Jun 15, 2017
Accepted (ET)
Jun 19, 2017 · 7:41 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001698530
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Jun 15, 2017 | A | 65,000 | $0.025 | A | 965,000 | D | |
| Common Stock | Jun 15, 2017 | P | 35,000 | $0.025 | A | 1,000,000 | D | |
| Common StockF1,F2 | Jun 15, 2017 | A | 65,000 | $0.025 | A | 65,000 | I | By Montrose Capital Partners Limited |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person is a principal of Montrose Capital Partners Limited ("Montrose Capital") and has sole voting and investment control over the securities of the Issuer owned by Montrose Capital.
- F2The reporting person acquired the shares from the Issuer in a transaction exempt from Section 16(b) pursuant to Rule 16b-3(d) under the Securities Exchange Act of 1934, as amended.