Monopar Therapeutics — Director's Dealing 2018

Jan 8, 2018

SEC Form 3 — Initial Statement of Beneficial Ownership

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

Reporting Person: Robinson Chandler (N/A)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common stock	14002.8	Direct
Common stock	4111272.88	Indirect
Common stock	166667	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock options	$0.001		Common stock (84000)		Direct
Stock options	$0.001		Common stock (84000)		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, Dr. Robinson may be deemed to share voting and dispositive power over these 4,111,272.88 shares. Dr. Robinson 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, Dr. Robinson may be deemed to share voting and dispositive power over these 166,667 shares. Dr. Robinson 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 84,000 shares of common stock granted to Dr. Robinson on April 4, 2016 for his services as a director and officer of Monopar Therapeutics. The options vested 50% upon grant date, 25% upon the 6-month anniversary of grant date, and 25% upon the 1-year anniversary of grant date. The options each expire on April 3, 2026.

F4: Reflects the issuance of options to purchase up to 84,000 shares of common stock granted to Dr. Robinson on February 20, 2017 for his services as a director and officer of Monopar Therapeutics. The options will vest 6/48ths at the six-month anniversary of grant date and 1/48th per month thereafter. The options each expire on February 19, 2027.