Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
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- Peter Lynch
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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 |
SCHEDULE 13G
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UNDER THE SECURITIES EXCHANGE ACT OF 1934
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Exicure, Inc. (Name of Issuer) |
Common (Title of Class of Securities) |
30205M309 (CUSIP Number) |
12/12/2024 (Date of Event Which Requires Filing of this Statement) |
| Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |
 Rule 13d-1(b)
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 Rule 13d-1(c)
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| Rule 13d-1(d)
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SCHEDULE 13G
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| CUSIP No. | 30205M309 |
| 1 | Names of Reporting Persons
SANGSANGIN INVESTMENT & SECURITIES CO., LTD. | ||||||||
| 2 | Check the appropriate box if a member of a Group (see instructions)
(a)
(b)
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| 3 | Sec Use Only | ||||||||
| 4 | Citizenship or Place of Organization
KOREA, REPUBLIC OF
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| Number of Shares Beneficially Owned by Each Reporting Person With: |
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| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person
433,332.00 | ||||||||
| 10 | Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)
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| 11 | Percent of class represented by amount in row (9)
14.3 % | ||||||||
| 12 | Type of Reporting Person (See Instructions)
CO |
SCHEDULE 13G
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| CUSIP No. | 30205M309 |
| 1 | Names of Reporting Persons
Sangsangin Co., Ltd. | ||||||||
| 2 | Check the appropriate box if a member of a Group (see instructions)
(a)
(b)
| ||||||||
| 3 | Sec Use Only | ||||||||
| 4 | Citizenship or Place of Organization
KOREA, REPUBLIC OF
| ||||||||
| Number of Shares Beneficially Owned by Each Reporting Person With: |
| ||||||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person
433,332.00 | ||||||||
| 10 | Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)
| ||||||||
| 11 | Percent of class represented by amount in row (9)
14.3 % | ||||||||
| 12 | Type of Reporting Person (See Instructions)
CO |
SCHEDULE 13G
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| CUSIP No. | 30205M309 |
| 1 | Names of Reporting Persons
Junwon Yoo | ||||||||
| 2 | Check the appropriate box if a member of a Group (see instructions)
(a)
(b)
| ||||||||
| 3 | Sec Use Only | ||||||||
| 4 | Citizenship or Place of Organization
KOREA, REPUBLIC OF
| ||||||||
| Number of Shares Beneficially Owned by Each Reporting Person With: |
| ||||||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person
433,332.00 | ||||||||
| 10 | Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)
| ||||||||
| 11 | Percent of class represented by amount in row (9)
14.3 % | ||||||||
| 12 | Type of Reporting Person (See Instructions)
IN |
SCHEDULE 13G
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| Item 1. | ||
| (a) | Name of issuer:
Exicure, Inc. | |
| (b) | Address of issuer's principal executive offices:
2430 N. HALSTED ST., CHICAGO, Illinois, 60614 | |
| Item 2. | ||
| (a) | Name of person filing:
Sangsangin Investment & Securities Co., Ltd., a corporation formed under the laws of the Republic of Korea ("Sangsangin"); Sangsangin Co., Ltd., a corporation formed under the laws of the Republic of Korea ("Sangsangin Ltd."); and Junwon Yoo, a citizen of the Republic of Korea ("Mr. Yoo"). | |
| (b) | Address or principal business office or, if none, residence:
The principal business address of each of the Reporting Persons is 49F, parc.1, 108, Yeoui-daero, Yeongdeungpo-gu, Seoul, Republic of Korea. | |
| (c) | Citizenship:
Please see disclosure in Item 2(a). | |
| (d) | Title of class of securities:
Common | |
| (e) | CUSIP No.:
30205M309 | |
| Item 3. | If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: | |
| (a) | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
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| (b) | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
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| (c) | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
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| (d) | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
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| (e) | An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
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| (f) | An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
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| (g) | A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
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| (h) | A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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| (i) | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
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| (j) | A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J),
please specify the type of institution: | |
| (k) | Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K).
| |
| Item 4. | Ownership | |
| (a) | Amount beneficially owned:
As of December 23, 2024, Sangsangin beneficially owned 433,332 shares of Common Stock. Sangsangin Ltd., as the majority shareholder of Sangsangin, may be deemed to have beneficially owned the 433,332 shares of Common Stock beneficially owned by Sangsangin. Mr. Yoo, as the chief executive officer of Sangsangin Ltd., may be deemed to have beneficially owned the 433,332 shares of Common Stock beneficially owned by Sangsangin Ltd. | |
| (b) | Percent of class:
The following percentage is based on 3,039,033 shares of Common Stock outstanding as of December 12, 2024, which is the sum of (i) 2,605,701 shares of Common Stock outstanding as of November 26, 2024, as disclosed in the Issuer's Definitive Proxy Statement on Schedule 14A filed with the Securities and Exchange Commission on December 2, 2024, plus (ii) the 433,332 shares of Common Stock issued to Sangsangin in a private placement which closed on December 12, 2024, which transaction was disclosed in the Issuer's Current Reports on Form 8-K filed with the Securities and Exchange Commission on December 11, 2024 and December 17, 2024. As of December 23, 2024, the Reporting Persons may be deemed to have beneficially owned approximately 14.3 %
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| (c) | Number of shares as to which the person has:
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| (i) Sole power to vote or to direct the vote:
See Cover Pages Items 5-8. | ||
| (ii) Shared power to vote or to direct the vote:
See Cover Pages Items 5-8. | ||
| (iii) Sole power to dispose or to direct the disposition of:
See Cover Pages Items 5-8. | ||
| (iv) Shared power to dispose or to direct the disposition of:
See Cover Pages Items 5-8. | ||
| Item 5. | Ownership of 5 Percent or Less of a Class. | |
| Item 6. | Ownership of more than 5 Percent on Behalf of Another Person. | |
Not Applicable
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| Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. | |
Not Applicable
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| Item 8. | Identification and Classification of Members of the Group. | |
If a group has filed this schedule pursuant to §240.13d-1(b)(1)(ii)(K), so indicate under Item 3(k) and attach an exhibit stating the identity and Item 3 classification of each member of the group. If a group has filed this schedule pursuant to §240.13d-1(c) or §240.13d-1(d), attach an exhibit stating the identity of each member of the group.
The undersigned hereby agree that this statement on Schedule 13G with respect to the Common Stock of Exicure, Inc., is, and any further amendments thereto signed by each of the undersigned shall be, filed on behalf of each of the undersigned pursuant to and in accordance with the provisions of Rule 13d 1(k)(2) under the Securities Exchange Act of 1934, as amended. | ||
| Item 9. | Notice of Dissolution of Group. | |
Not Applicable
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| Item 10. | Certifications: |
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under ?? 240.14a-11. |
| SIGNATURE | |
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
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