0001126234-20-000062.txt : 20200407 0001126234-20-000062.hdr.sgml : 20200407 20200407175820 ACCESSION NUMBER: 0001126234-20-000062 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200403 FILED AS OF DATE: 20200407 DATE AS OF CHANGE: 20200407 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McCracken Joseph S CENTRAL INDEX KEY: 0001632454 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35342 FILM NUMBER: 20780628 MAIL ADDRESS: STREET 1: C/O NEXVET BIOPHARMA PLC STREET 2: NATL INST, FOSTERS AVENUE, MOUNT MERRION CITY: BLACKROCK STATE: L2 ZIP: 00000 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LUMOS PHARMA, INC. CENTRAL INDEX KEY: 0001126234 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 421491350 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4200 MARATHON BLVD. STREET 2: SUITE 200 CITY: AUSTIN STATE: TX ZIP: 78756 BUSINESS PHONE: 512-215-2630 MAIL ADDRESS: STREET 1: 4200 MARATHON BLVD. STREET 2: SUITE 200 CITY: AUSTIN STATE: TX ZIP: 78756 FORMER COMPANY: FORMER CONFORMED NAME: NEWLINK GENETICS CORP DATE OF NAME CHANGE: 20001012 4 1 wf-form4_158629668273144.xml FORM 4 X0306 4 2020-04-03 0 0001126234 LUMOS PHARMA, INC. (LUMO) 0001632454 McCracken Joseph S 4200 MARATHON BLVD SUITE 200 AUSTIN TX 78756 1 0 0 0 Common Stock 2020-04-03 4 A 0 709 0 A 709 D Stock Option (Right to Buy) 7.78 2020-04-03 4 A 0 5684 0 A 2030-04-02 Common Stock 5684.0 5684 D Represents shares issued as restricted stock units ("RSUs") under the Issuer's 2010 Non-Employee Director Stock Award Plan (the "Plan") that were received as an award, for no consideration. The RSUs vest in a series of three successive annual installments beginning on April 3, 2021, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. Grant to the Reporting Person of a nonstatutory stock option under the Plan. One-third of the shares vest on the one-year anniversary of the grant date and the remaining two-thirds of the shares vest in a series of 24 successive equal monthly installments thereafter, subject to the Reporting Persons's continuous service as of such dates. The option expires ten years after the date of grant, unless it expires sooner pursuant to the terms of the Plan. /s/ Ryan Trytten, attorney-in-fact 2020-04-07