0001654954-19-014155.txt : 20191220 0001654954-19-014155.hdr.sgml : 20191220 20191220191014 ACCESSION NUMBER: 0001654954-19-014155 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191218 FILED AS OF DATE: 20191220 DATE AS OF CHANGE: 20191220 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hendricks Diane CENTRAL INDEX KEY: 0001727478 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39070 FILM NUMBER: 191303162 MAIL ADDRESS: STREET 1: C/O GEM PHARMACEUTICALS STREET 2: 200 RANDOLPH AVE. CITY: HUNTSVILLE STATE: AL ZIP: 35801 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Monopar Therapeutics CENTRAL INDEX KEY: 0001645469 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 320463781 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1000 SKOKIE BLVD SUITE 350 CITY: WILMETTE STATE: IL ZIP: 60091 BUSINESS PHONE: 8473880349 MAIL ADDRESS: STREET 1: 1000 SKOKIE BLVD SUITE 350 CITY: WILMETTE STATE: IL ZIP: 60091 4 1 section16.xml PRIMARY DOCUMENT X0306 4 2019-12-18 0001645469 Monopar Therapeutics MNPR 0001727478 Hendricks Diane C/O 1000 STOKIE BLVD. STE 350 WILMETTE IL false false true Common stock 2019-12-18 4 P false 468750 8.00 A 468750 I See Footnote 1 Common stock 3055394.12 I See Footnote 2 This is based upon the 468,750 shares of Monopar Common Stock that DMH Business LLC directly owns. As a manager of DMH Business LLC, Ms. Hendricks may be deemed to share voting and dispositive power over these 468,750 shares. Ms. Hendricks disclaims beneficial ownership of the 468,750 shares held by DMH Business LLC, except to the extent of her pecuniary interest therein. Gem Pharmaceuticals LLC ("Gem"), an Alabama limited liability company, has voting and investment power over 3,055,394.12 of the shares of common stock held by TacticGem LLC. Diane Hendricks is a manager of Gem and along with other managers collectively have voting control over the securities described herein. Pharma Investments LLC ("Pharma") owns a controlling share of Gem and Diane Hendricks owns a controlling share of Pharma, so Pharma and its controlling shareholders have indirect control over the securities described herein. The managers of Gem and the controlling shareholders of Pharma each disclaim ownership of the shares of common stock owned by Gem, except to the extent of their pecuniary interest therein. /s/ Kim R. Tsuchimoto, Attorney-in-fact 2019-12-20