Michael J. Brown - Sep 30, 2021 Form 4 Insider Report for Monopar Therapeutics (MNPR)

Role
Director
Signature
/s/ Kim R. Tsuchimoto, Attorney-in-fact
Stock symbol
MNPR
Transactions as of
Sep 30, 2021
Transactions value $
$0
Form type
4
Date filed
10/1/2021, 07:22 PM
Previous filing
Sep 28, 2021
Next filing
Nov 5, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction MNPR Common Stock Options Exercise +751 +0.35% 214K Sep 30, 2021 Direct F1
holding MNPR Common Stock 4.11M Sep 30, 2021 See Footnote F2
holding MNPR Common Stock 167K Sep 30, 2021 See Footnote F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction MNPR Restricted Stock Units Options Exercise $0 -751 -50% $0.00 751 Sep 30, 2021 Common Stock 751 Direct F1, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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 January 26, 2021 the reporting person was granted 3,005 restricted stock units, vesting in four equal quarterly installments with vesting dates on March 31, 2021, June 30, 2021, September 30, 2021, and December 31, 2021. 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.