Statement of Changes in Beneficial Ownership (4)
May 21 2020 - 4:47PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Mirkin Chad A. |
2. Issuer Name and Ticker or Trading Symbol
EXICURE, INC.
[
XCUR
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
C/O EXICURE, INC., 8045 LAMON AVENUE, SUITE 410 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/20/2020 |
(Street)
SKOKIE, IL 60077
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 5/20/2020 | | M | | 49649 | A | $0.65 | 64649 | D | |
Common Stock | | | | | | | | 25000 | I | By BSR Enterprises, LLC (1) |
Common Stock | | | | | | | | 11267824 | I | By AuraSense, LLC (2)(3) |
Common Stock | | | | | | | | 33936 | I | By Chad A. Mirkin Living Trust (3)(4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (right to buy) | $0.65 | 5/20/2020 | | M | | | 49649 | (5) | 3/1/2024 | Common Stock | 49649 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | The Reporting Person is a member of the Board of Managers of BSR Enterprises, LLC and may be deemed to share voting and dispositive power over the shares held by BSR Enterprises, LLC with the Reporting Person's spouse. |
(2) | The Reporting Person is a member of the Board of Managers of AuraSense, LLC and may be deemed to share voting or dispositive power over the shares held by AuraSense, LLC. |
(3) | The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
(4) | The Reporting Person is the trustee of the Chad A. Mirkin Living Trust, and has voting or dispositive power over the shares held by the trust. |
(5) | Immediately exercisable. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Mirkin Chad A. C/O EXICURE, INC. 8045 LAMON AVENUE, SUITE 410 SKOKIE, IL 60077 | X | X |
|
|
Signatures
|
/s/ David Snyder, attorney-in-fact | | 5/21/2020 |
**Signature of Reporting Person | Date |
Exicure (NASDAQ:XCUR)
Historical Stock Chart
From Jun 2024 to Jul 2024
Exicure (NASDAQ:XCUR)
Historical Stock Chart
From Jul 2023 to Jul 2024