| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 05/03/2023 |
3. Issuer Name and Ticker or Trading Symbol
EXICURE, INC. [ XCUR ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) 05/09/2023 |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock | 2,133(1) | D | |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Explanation of Responses: |
| 1. Includes 1,600 restricted stock units ("RSU"). Each RSU granted by Exicure, Inc. (the "Issuer") to Joshua Miller in connection with his employment with the Issuer represents a contingent right to receive one share of the Issuer's common stock upon vesting. One-fourth of the RSUs granted vested on May 15, 2023, and then one-sixteenth of the RSUs granted vest every three months thereafter for a total vesting period of four years. The RSUs are subject to forfeiture upon the occurrence of certain events until vested. |
| Remarks: |
| General Explanatory Note: The Form 3 filed with the Securities and Exchange Commission (SEC Accession No. 0001698530-23-000045) on May 9, 2023 (the "Prior Filing") was inadvertently filed under the wrong Reporting Person's CIK, and thereafter corrected and re-submitted under the correct Reporting Person's CIK. The Prior Filing was submitted in error, is hereby withdrawn and therefore should be disregarded. Additionally, as a result of the error, the Prior Filing included incorrect information with respect to Joshua Miller. As reported in this amendment, Mr. Miller directly owns 1,600 RSUs and 533 shares of common stock granted by the Issuer. The original Form 3 also mistakenly indicated that Mr. Miller is a director, Chief Executive Officer and Chief Financial Officer and that the date of event requiring statement was April 26, 2023. As reflected in this amendment, Mr. Miller's correct title is Chief Accounting Officer and the correct date of event requirement statement is May 3, 2023. |
| /s/ Joshua Miller | 05/15/2023 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||