0001126234-21-000023.txt : 20210218 0001126234-21-000023.hdr.sgml : 20210218 20210218162211 ACCESSION NUMBER: 0001126234-21-000023 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210216 FILED AS OF DATE: 20210218 DATE AS OF CHANGE: 20210218 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: van Es-Johansson An CENTRAL INDEX KEY: 0001795902 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35342 FILM NUMBER: 21649817 MAIL ADDRESS: STREET 1: 6863 BEE CAVE ROAD STREET 2: SUITE 200 CITY: AUSTIN STATE: TX ZIP: 78736 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 3 1 wf-form3_161368331801070.xml FORM 3 X0206 3 2021-02-16 0 0001126234 LUMOS PHARMA, INC. (LUMO) 0001795902 van Es-Johansson An 4200 MARATHON BLVD SUITE 200 AUSTIN TX 78756 1 0 0 0 Common Stock 733 D Stock Option (Right to Buy) 17.86 2022-02-16 2031-02-15 Common Stock 5729.0 D Automatic grant to the Reporting Person of restricted stock units ("RSUs") under the Issuer's 2010 Non-Employee Directors' Stock Award Plan (the "Plan"). These RSUs vest in a series of three annual installments beginning on February 16, 2022, in each case subject to the Reporting Person's continuous service as of such date. 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 2021-02-18 EX-24 2 ex-24.htm VAN ES-JOHANSSON POA

LIMITED POWER OF ATTORNEY FOR SECTION 16(a) REPORTING
KNOW ALL PERSONS BY THESE PRESENTS, that the undersigned hereby makes, constitutes and appoints each Carl W. Langren, Lori Lawley, Bradley J. Powers and Ryan D. Trytten, and each of their successors in the offices of Chief Financial Officer, VP Finance and Controller, General Counsel or Legal Advisor of Lumos Pharma, Inc. (the "Company"), as the undersigned's true and lawful attorney-in-fact (the "Attorney-in Fact"), with full power of substitution and resubstitution, each with the power to act alone for the undersigned and in the undersigned's name, place and stead, in any and all capacities to:

1.    prepare, execute, deliver and file with the United States Securities and Exchange Commission, any national securities exchange and the Company any and all reports (including any amendment thereto) of the undersigned required or considered advisable under Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules and regulations thereunder, with respect to the equity securities of the Company, including Form 3 (Initial Statement of Beneficial Ownership of Securities), Form 4 (Statement of Changes in Beneficial Ownership) and Form 5 (Annual Statement of Changes in Beneficial Ownership and any successor forms thereto; and

2.    seek or obtain, as the undersigned's representative and on the undersigned's behalf, information on transactions in the Company's equity securities from any third party, including the Company, brokers, dealers, employee benefit plan administrators and trustees, and the undersigned hereby authorizes any such third party to release any such information to the Attorney-in-Fact.

The undersigned acknowledges that:

1.    this Limited Power of Attorney authorizes, but does not require, the Attorney-in-Fact to act at his or her discretion on information provided to such Attorney-in-Fact without independent verification of such information;

2.    any documents prepared and/or executed by the Attorney-in-Fact on behalf of the undersigned pursuant to this Limited Power of Attorney will be in such form and will contain such information as the Attorney-in-Fact, in his or her discretion, deems necessary or desirable;

3.    neither the Company nor the Attorney-in-Fact assumes any liability for the undersigned's responsibility to comply with the requirements of Section 16 of the Exchange Act, any liability of the undersigned for any failure to comply with such requirements, or any liability of the undersigned for disgorgement of profits under Section 16(b) of the Exchange Act; and

4.    this Limited Power of Attorney does not relieve the undersigned from responsibility for compliance with the undersigned's obligations under Section 16 of the Exchange Act, including, without, limitation, the reporting requirements under Section 16(a) of the Exchange Act.

The undersigned hereby grants to the Attorney-in-Fact full power and authority to do and perform each and every act and thing requisite, necessary or convenient to be done in connection with the foregoing, as fully, to all intents and purposes, as the undersigned might or could do in person, hereby ratifying and confirming all that the Attorney-in-Fact, or his or her substitute or substitutes, shall lawfully do or cause to be done by authority of this Limited Power of Attorney.  This Limited Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 or 5 with respect to the undersigned's holdings of and transactions in equity securities of the Company, unless earlier revoked by the undersigned in a signed writing delivered to the Attorney-in-Fact.  This Limited Power of Attorney shall be governed and construed in accordance the laws of the State of Texas without regard to the laws that might otherwise govern under applicable principles of conflicts of laws thereof.

IN WITNESS WHEREOF, the undersigned has caused this Limited Power of Attorney for Section 16(a) Reporting to be executed as of February 17, 2021.


Signature:     /s/ An van Es-Johansson

Print Name:    An van Es-Johansson