Monopar Therapeutics — Director's Dealing 2022

Oct 4, 2022

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Monopar Therapeutics (MNPR)
CIK: 0001645469
Period of Report: 2022-09-30

Reporting Person: Brown Michael J (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2022-09-30	Common Stock	M	2859	—	Acquired	222871	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2022-09-30	Restricted Stock Units	$	M	2859	Disposed		Common Stock (2859)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	4111272.88	Indirect
Common Stock	166667	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, Mr. Brown may be deemed to share voting and dispositive power over these 4,111,272.88 shares. Mr. Brown 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 166,667 shares of Monopar Common Stock that Tactic Pharma LLC directly owns. As a manager of Tactic Pharma LLC, Mr. Brown may be deemed to share voting and dispositive power over these 166,667 shares. Mr. Brown disclaims beneficial ownership of the 166,667 shares held by Tactic Pharma LLC, except to the extent of his pecuniary interest therein.

F4: On February 2, 2022 the reporting person was granted 11,436 restricted stock units, vesting in four equal quarterly installments with vesting dates on March 31, 2022, June 30, 2022, September 30, 2022, and December 31, 2022. 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.