AI assistant
Monopar Therapeutics — Director's Dealing 2022
Apr 1, 2022
32883_dirs_2022-04-01_76ba493a-034d-4183-a5da-1ece750764f9.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Monopar Therapeutics (MNPR)
CIK: 0001645469
Period of Report: 2022-03-31
Reporting Person: Mazar Andrew Paul (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-03-31 | Common Stock | M | 1606 | — | Acquired | 22595.8 | Direct |
| 2022-03-31 | Common Stock | F | 471 | $2.55 | Disposed | 22124.8 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2022-03-31 | Restricted Stock Units | $ | M | 1606 | Disposed | Common Stock (1606) | 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, Dr. Mazar may be deemed to share voting and dispositive power over these 4,111,272.88 shares. Dr. Mazar 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, Dr. Mazar may be deemed to share voting and dispositive power over these 166,667 shares. Dr. Mazar disclaims beneficial ownership of the 166,667 shares held by Tactic Pharma LLC, except to the extent of his pecuniary interest therein.
F4: On January 26, 2021, the reporting person was granted 25,697 restricted stock units, vesting 6/48ths (3,212 shares) on June 30, 2021, and 3/48ths (1,606 shares) every 3 months thereafter until the RSU is fully vested on December 31, 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.