0001126234-22-000093.txt : 20220826 0001126234-22-000093.hdr.sgml : 20220826 20220826170021 ACCESSION NUMBER: 0001126234-22-000093 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220825 FILED AS OF DATE: 20220826 DATE AS OF CHANGE: 20220826 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Raffin Thomas A. CENTRAL INDEX KEY: 0001512119 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35342 FILM NUMBER: 221205956 MAIL ADDRESS: STREET 1: C/O NEWLINK GENETICS CORP. STREET 2: 2503 SOUTH LOOP DR., SUITE 5100 CITY: AIMES 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_166154758329850.xml FORM 4 X0306 4 2022-08-25 0 0001126234 LUMOS PHARMA, INC. (LUMO) 0001512119 Raffin Thomas A. 4200 MARATHON BLVD. SUITE 200 AUSTIN TN 78756 1 0 0 0 Common Stock 2022-08-25 4 P 0 1150 8.46 A 9406 D Includes 237 restricted stock units ("RSUs") previously reported as holdings of the Reporting Person granted under the Issuer's 2009 Equity Incentive Plan (the "Plan"). The RSUs will vest, and shares will be delivered to the Reporting Person in a single installment on April 3, 2023, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. /s/ Ryan Trytten, attorney-in-fact 2022-08-26