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Monopar Therapeutics — Director's Dealing 2021
Jan 5, 2021
32883_dirs_2021-01-05_09530b36-8620-4348-b1d8-72449868a6ba.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Monopar Therapeutics (MNPR)
CIK: 0001645469
Period of Report: 2021-01-01
Reporting Person: Robinson Chandler (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-01-01 | Common Stock | M | 6724 | — | Acquired | 20726.8 | Direct |
| 2021-01-01 | Common Stock | F | 2327 | $6.12 | Disposed | 18399.8 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-01-01 | Restricted Stock Units | $ | M | 6724 | Disposed | Common Stock (6724) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 4111272.88 | Indirect |
| Common Stock | 291667 | Indirect |
Footnotes
F1: Represents shares acquired on vesting and settlement of restricted stock units.
F2: 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.
F3: This is based upon the 291,667 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 291,667 shares. Dr. Robinson disclaims beneficial ownership of the 291,667 shares held by Tactic Pharma LLC, except to the extent of his pecuniary interest therein.
F4: On January 31, 2020 the reporting person was granted 26,895 restricted stock units, vesting in four equal annual installments with vesting dates on January 1, 2021, January 1, 2022, January 1, 2023, and January 1, 2024. 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.