Monopar Therapeutics — Director's Dealing 2020

Apr 1, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Monopar Therapeutics (MNPR)
CIK: 0001645469
Period of Report: 2020-03-31

Reporting Person: KLAUSNER ARTHUR J (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-03-31	Common Stock	M	322	—	Acquired	5322	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-03-31	Restricted Stock Units	$	M	322	Disposed		Common Stock (322)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	3055394.12	Indirect

Footnotes

F1: Represents shares acquired on vesting and settlement of restricted stock units.

F2: On January 31, 2020 the reporting person was granted 1,289 restricted stock units, vesting in four equal quarterly installments with vesting dates on March 31, 2020, June 30, 2020, September 30, 2020, and December 31, 2020. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer. Disposed of restricted stock units were surrendered in exchange for issuance of common stock upon vesting and settlement.

F3: This is based upon the 3,055,394.12 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 3,055,394.12 shares. Mr. Klausner disclaims beneficial ownership of the 3,055,394.12 shares held by Gem Pharmaceuticals, LLC, except to the extent of his pecuniary interest therein.