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Monopar Therapeutics — Director's Dealing 2023
Jan 3, 2023
32883_dirs_2023-01-03_703c0cb7-319a-4dc6-92fe-d672b7ea3587.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: 2022-12-31
Reporting Person: Tsuchimoto Kim R (Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-12-31 | Common Stock | M | 5067 | — | Acquired | 19846 | Direct |
| 2022-12-31 | Common Stock | F | 2067 | $2.37 | Disposed | 17779 | Direct |
| 2023-01-01 | Common Stock | M | 1230 | — | Acquired | 19009 | Direct |
| 2023-01-01 | Common Stock | F | 502 | $2.37 | Disposed | 18507 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2022-12-31 | Restricted Stock Units | $ | M | 5067 | Disposed | Common Stock (5067) | Direct | |
| 2023-01-01 | Restricted Stock Units | $ | M | 1230 | Disposed | Common Stock (1230) | Direct |
Footnotes
F1: Represents shares acquired on vesting and settlement of restricted stock units.
F2: On January 26, 2021, the reporting person was granted 19,536 restricted stock units, vesting 6/48ths (2,442 shares) on June 30, 2021, and 3/48ths (1,221 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.
F3: On February 2, 2022, the reporting person was granted 61,532 restricted stock units, vesting 6/48ths (7,692 shares) on June 30, 2022, and 3/48ths (3,846 shares) every 3 months thereafter until the RSU is fully vested on December 31, 2025. 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.
F4: On January 31, 2020, the reporting person was granted 4,923 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.