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: Brown Michael J (N/A)

Holdings (Non-Derivative)

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

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock options	$6.00		Common stock (21024)		Direct

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: Reflects the issuance of options to purchase up to 21,024 shares of common stock granted to Mr. Brown on September 18, 2017 for his services as a director of Monopar Therapeutics. The options vest 6/24ths on the six-month anniversary of the grant date and 1/24th on each subsequent one-month anniversary thereafter. The options each expire on September 17, 2027.