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