Monopar Therapeutics — Director's Dealing 2019

Dec 21, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Monopar Therapeutics (MNPR)
CIK: 0001645469
Period of Report: 2019-12-18

Reporting Person: Leo Karl (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-12-18	Common stock	P	156250	$8.00	Acquired	156250	Indirect
2019-12-18	Common stock	P	313.75	$8.00	Acquired	313.75	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common stock	3055394.12	Indirect

Footnotes

F1: This is based upon the 156,250 shares of Monopar Common Stock that KWL Investments II, LLC directly owns. As a manager of KWL Investments II, LLC, Mr. Leo may be deemed to share voting and dispositive power over these 156,250 shares. Mr. Leo disclaims beneficial ownership of the 156,250 shares held by KWL Investments II, LLC, except to the extent of his pecuniary interest therein.

F2: Gem Pharmaceuticals LLC ("Gem"), an Alabama limited liability company, has voting and investment power over 3,055,394.12 of the shares of common stock held by TacticGem LLC.

Karl Leo is a manager of Gem and along with other managers collectively have voting control over the securities described herein. Pharma Investments LLC ("Pharma") owns a controlling share of Gem and Karl Leo owns 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.