Monopar Therapeutics — Director's Dealing 2018

Sep 28, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Monopar Therapeutics (NONE)
CIK: 0001645469
Period of Report: 2018-08-09

Reporting Person: Brown Michael J (N/A)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-08-09	Stock options	$6	A	26100	Acquired	2028-08-08	Common stock (26100)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common stock	210000	Direct
Common stock	4111272.88	Indirect
Common stock	166667	Indirect

Footnotes

F1: This 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, Mr. Brown may be deemed to share voting and dispositive power over these 4,111,272.88 shares. Mr. Brown disclaims beneficial ownership of the 4,111,272.88 shares held by Tactic Pharma LLC, except to the extent of his pecuniary interest therein.

F2: This is based upon the 166,667 shares of Monopar Common Stock that Tactic Pharma LLC directly owns. As a manager of Tactic Pharma LLC, Mr. Brown may be deemed to share voting and dispositive power over these 166,667 shares. Mr. Brown disclaims beneficial ownership of the 166,667 shares held by Tactic Pharma LLC, except to the extent of his pecuniary interest therein.

F3: Stock 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.