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