Monopar Therapeutics — Director's Dealing 2023

Jan 3, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Monopar Therapeutics (MNPR)
CIK: 0001645469
Period of Report: 2022-12-31

Reporting Person: Robinson Chandler (Director, Chief Executive Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2022-12-31	Common Stock	M	13912	—	Acquired	77147.80	Direct
2022-12-31	Common Stock	F	4814	$2.37	Disposed	72333.80	Direct
2023-01-01	Common Stock	M	6723	—	Acquired	79056.80	Direct
2023-01-01	Common Stock	F	2327	$2.37	Disposed	76729.80	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2022-12-31	Restricted Stock Units	$	M	13912	Disposed		Common Stock (13912)	Direct
2023-01-01	Restricted Stock Units	$	M	6723	Disposed		Common Stock (6723)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	4111272.88	Indirect
Common Stock	166667	Indirect
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. 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 166,667 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 166,667 shares. Dr. Robinson 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 63,060 restricted stock units, vesting 6/48ths (7,883 shares) on June 30, 2021, and 3/48ths (3,941 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.

F5: On February 2, 2022, the reporting person was granted 159,522 restricted stock units, vesting 6/48ths (19,940 shares) on June 30, 2022, and 3/48ths (9,970 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.

F6: 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.