Andrew Paul Mazar - Jan 1, 2022 Form 4 Insider Report for Monopar Therapeutics (MNPR)

Signature
/s/ Kim R. Tsuchimoto, Attorney-in-fact
Stock symbol
MNPR
Transactions as of
Jan 1, 2022
Transactions value $
-$2,154
Form type
4
Date filed
1/4/2022, 01:49 PM
Previous filing
Jan 4, 2022
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 +1.94K +9.82% 21.7K Jan 1, 2022 Direct F1
transaction MNPR Common Stock Tax liability -$2.15K -671 -3.1% $3.21 21K Jan 1, 2022 Direct
holding MNPR Common Stock 4.11M Jan 1, 2022 See footnote F2
holding MNPR Common Stock 167K Jan 1, 2022 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 -1.94K -33.33% $0.00 3.87K Jan 1, 2022 Common Stock 1.94K 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 31, 2020 the reporting person was granted 7,748 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.