0001126234-21-000079.txt : 20210524
0001126234-21-000079.hdr.sgml : 20210524
20210524183554
ACCESSION NUMBER: 0001126234-21-000079
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210520
FILED AS OF DATE: 20210524
DATE AS OF CHANGE: 20210524
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: JOHNSON CHAD ALLEN
CENTRAL INDEX KEY: 0001734108
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35342
FILM NUMBER: 21956767
MAIL ADDRESS:
STREET 1: C/O NEWLINK GENETICS CORPORATION
STREET 2: 2503 SOUTH LOOP DRIVE
CITY: AMES
STATE: IA
ZIP: 50010
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_162189573692141.xml
FORM 4
X0306
4
2021-05-20
0
0001126234
LUMOS PHARMA, INC.
(LUMO)
0001734108
JOHNSON CHAD ALLEN
4200 MARATHON BLVD
SUITE 200
AUSTIN
TX
78756
1
0
0
0
Common Stock
2021-05-20
4
A
0
367
0
A
1076
D
Stock Option (Right to Buy)
10.36
2021-05-20
4
A
0
2910
0
A
2031-05-19
Common Stock
2910.0
2910
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 single installment on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, 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.
Includes 473 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of two successive annual installments with the next installment occurring on April 3, 2022, 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 hundred percent (100%) of the shares shall vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, in each case subject to the Reporting Person's continuous service as of such date. The option expires ten years after the date of grant.
/s/ Ryan Trytten, attorney-in-fact
2021-05-24