SEC Form 4 · accession 0001213900-17-010071
EXICURE, INC. · XCUR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark N. Tompkins
Other
Period of report
Sep 26, 2017
Accepted (ET)
Sep 28, 2017 · 1:14 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 Stock | Sep 26, 2017 | P | 166,667 | $3.00 | A | 1,825,667 | D | |
| Common StockF1 | holding | — | — | — | 108,160 | 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.