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: KLAUSNER ARTHUR 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	5000	Direct
Common stock	3055394	Indirect

Footnotes

F1: This 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.

F2: 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.