Arthur J. Klausner - Dec 31, 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
Dec 31, 2021
Transactions value $
$0
Form type
4
Date filed
1/4/2022, 11:59 AM
Previous filing
Oct 1, 2021
Next filing
Feb 4, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction MNPR Common Stock Options Exercise +751 +8.79% 9.29K Dec 31, 2021 Direct F1
holding MNPR Common Stock 3.06M Dec 31, 2021 See Footnote F2

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 -100% $0.00* 0 Dec 31, 2021 Common Stock 751 Direct F1, F3
* 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 3,055,394.12 shares of Monopar common stock that Gem Pharmaceuticals, LLC, indirectly controls through TacticGem LLC. As a manager of Gem Pharmaceuticals, LLC, Mr. Klausner may be deemed to share voting and dispositive power over these 3,055,394.12 shares. Mr. Klausner disclaims beneficial ownership of the 3,055,394.12 shares held by Gem Pharmaceuticals, LLC, except to the extent of his pecuniary interest therein.
F3 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.