0001209191-20-037163.txt : 20200616
0001209191-20-037163.hdr.sgml : 20200616
20200616213550
ACCESSION NUMBER: 0001209191-20-037163
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200612
FILED AS OF DATE: 20200616
DATE AS OF CHANGE: 20200616
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Mirkin Chad A.
CENTRAL INDEX KEY: 0001416999
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39011
FILM NUMBER: 20967962
MAIL ADDRESS:
STREET 1: 4088 COMMERCIAL AVENUE
CITY: NORTHBROOK
STATE: IL
ZIP: 60062
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: EXICURE, INC.
CENTRAL INDEX KEY: 0001698530
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 815333008
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 8045 LAMON AVE, SUITE 410
CITY: SKOKIE
STATE: IL
ZIP: 60077
BUSINESS PHONE: 847-673-1700
MAIL ADDRESS:
STREET 1: 8045 LAMON AVE, SUITE 410
CITY: SKOKIE
STATE: IL
ZIP: 60077
FORMER COMPANY:
FORMER CONFORMED NAME: Max-1 Acquisition Corp
DATE OF NAME CHANGE: 20170221
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2020-06-12
0
0001698530
EXICURE, INC.
XCUR
0001416999
Mirkin Chad A.
C/O EXICURE, INC.
8045 LAMON AVENUE, SUITE 410
SKOKIE
IL
60077
1
0
1
0
Common Stock
2020-06-12
4
S
0
10195
2.83
D
11257629
I
By AuraSense, LLC
Common Stock
64649
D
Common Stock
25000
I
By BSR Enterprises, LLC
Common Stock
33936
I
By Chad A. Mirkin Living Trust
Certain of these transactions are matchable transactions under Section 16(b) of the Exchange Act. The Reporting Person will disgorge the full amount of any recoverable profits to the Issuer.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.81 to
$2.87 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and
Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
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.
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.
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.
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.
/s/ David Snyder, attorney-in-fact
2020-06-16