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: KLAUSNER ARTHUR J (N/A)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common stock	5000	Direct
Common stock	3055394	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Non-qualified stock options	$6.00	2027-08-31	Common stock (21024)		Direct

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: Reflects the issuance of options to purchase shares of common stock granted to Mr. Klausner on September 1, 2017 for his services as a director of Monopar Therapeutics. The options vest 6/48ths on the six-month anniversary of the grant date and 1/48th on each subsequent one-month anniversary thereafter.