Monopar Therapeutics — Director's Dealing 2018

Jan 9, 2018

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Monopar Therapeutics (NONE)
CIK: 0001645469
Period of Report: 2018-01-08

Reporting Person: Gem Pharmaceuticals LLC (N/A)
Reporting Person: Hendricks Diane (N/A)
Reporting Person: Leo Karl (N/A)
Reporting Person: KLAUSNER ARTHUR J (N/A)
Reporting Person: Pharma Investments LLC (N/A)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common stock	3055394.12	Indirect

Footnotes

F1: This Form 3 is being filed on behalf of Gem Pharmaceuticals, LLC, an Alabama limited liability company ("Gem"), and its managers, Diane Hendricks, Karl Leo, and Arthur Klausner, and Pharma Investments ("Pharma") and its controlling shareholders, Karl Leo and Diane Hendricks (collectively, the "Reporting Persons"). The managers of Gem collectively have voting control over the securities described herein. Pharma owns a controlling share of Gem and Karl Leo and Diane Hendricks own a controlling share of Pharma, so Pharma and its controlling shareholders have indirect control over the securities described herein. The managers of Gem and the controlling shareholders of Pharma each disclaim ownership of the shares of common stock owned by Gem, except to the extent of their pecuniary interest therein.

F2: Gem shares voting and investment power over 3,055,394.12 of the shares of common stock held by TacticGem LLC.