UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Tactic Pharma LLC C/O SKOKIE BLVD., SUITE 350 WILMETTE, IL 60091 |
X | |||
Mazar Andrew Paul 1000 SKOKIE BLVD SUITE 350 WILMETTE, IL 60091 |
X | X | Chief Scientific Officer | |
Robinson Chandler C/O SKOKIE BLVD., SUITE 350 WILMETTE, IL 60091 |
X | X | Chief Executive Officer | |
O'Halloran Thomas V. C/O MONOPAR THERAPEUTICS INC. 1000 SKOKIE BLVD., SUITE 350 WILMETTE, IL 60091 |
X | |||
Brown Michael J C/O EURONET WORLDWIDE, INC. 3500 COLLEGE BOULEVARD LEAWOOD, KS 66211 |
X | X |
/s/ Kim R. Tsuchimoto, attorney-in-fact | 01/08/2018 | |
**Signature of Reporting Person | Date | |
/s/ Kim R. Tsuchimoto, Attorney in fact | 01/08/2018 | |
**Signature of Reporting Person | Date | |
/s/Kim R. Tsuchimoto, Attorney in fact | 01/08/2018 | |
**Signature of Reporting Person | Date | |
/s/Kim R. Tsuchimoto, Attorney-in-fact | 01/08/2018 | |
**Signature of Reporting Person | Date | |
/s/ Kim R. Tsuchimoto, Attorney-In-Fact | 01/08/2018 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | This Form 3 is being filed on behalf of Tactic Pharma LLC, an Illinois limited liability company ("Tactic"), and its managers, Andrew P. Mazar, Chandler D. Robinson, Michael J. Brown, and Thomas V. O'Halloran (collectively, the "Reporting Persons"). The managers collectively have voting control over the securities described herein. The managers each disclaim ownership of the shares of common stock owned by Tactic, except to the extent of their pecuniary interest therein. |
(2) | Tactic shares voting and investment power over 4,111,272.88 of the shares of common stock held by TacticGem LLC. |