Andrew Paul Mazar - Sep 30, 2021 Form 4 Insider Report for Monopar Therapeutics (MNPR)

Role: Chief Scientific Officer, Director
Signature: /s/ Kim R. Tsuchimoto, Attorney-in-fact
Stock symbol: MNPR
Transactions as of: Sep 30, 2021
Transactions value $: -$2,294
Form type: 4
Date filed: 10/1/2021, 07:31 PM
Previous filing: Jul 2, 2021
Next filing: Jan 4, 2022

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	MNPR	Common Stock	Options Exercise		+1.61K	+9.16%		19.1K	Sep 30, 2021	Direct	F1
transaction	MNPR	Common Stock	Tax liability	-$2.29K	-471	-2.46%	$4.87^*	18.7K	Sep 30, 2021	Direct
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	-1.61K	-7.14%	$0.00	20.9K	Sep 30, 2021	Common Stock	1.61K		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, 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.