0001126234-23-000015.txt : 20230203
0001126234-23-000015.hdr.sgml : 20230203
20230203170312
ACCESSION NUMBER: 0001126234-23-000015
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230201
FILED AS OF DATE: 20230203
DATE AS OF CHANGE: 20230203
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Lawley Lori D
CENTRAL INDEX KEY: 0001747716
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35342
FILM NUMBER: 23587036
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_167546177480198.xml
FORM 4
X0306
4
2023-02-01
0
0001126234
LUMOS PHARMA, INC.
(LUMO)
0001747716
Lawley Lori D
4200 MARATHON BLVD.
SUITE 200
AUSTIN
TX
78756
0
1
0
0
Chief Financial Officer
Common Stock
2023-02-01
4
A
0
1000
3.52
A
11619
D
Common Stock
2023-02-01
4
F
0
114
3.52
D
11505
D
Stock Option (Right to Buy)
3.52
2023-02-01
4
A
0
12000
0
A
Common Stock
12000.0
12000
D
Represents shares issued as restricted stock units ("RSUs") under the Issuer's 2009 Equity Incentive Plan, as amended, (the "Plan") that were received as an award, for no consideration. The RSUs vest in a series of four successive annual installments beginning on February 1, 2024, 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 435 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 February 1, 2024, 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 2,250 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 1, 2023, 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 2,813 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 three successive annual installments with the next installment occurring on August 1, 2023, 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 750 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 three successive annual installments with the next installment occurring on February 1, 2024, 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 500 shares acquired under the Lumos Pharma, Inc. 2010 Employee Stock Purchase Plan on December 31, 2022.
Represents shares of Common Stock withheld by the Issuer in satisfaction of its tax withholding obligation with respect to the vesting of 467 previously reported RSUs granted to the Reporting Person.
Grant to the Reporting Person of a stock option under the Plan. 50% of the option vests and becomes exercisable in a series of 48 successive equal monthly installments beginning on March 1, 2023, provided that at the relevant vesting dates the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. The option expires ten years after the Date of Grant.
The remaining 50% of the stock options vest and become exercisable in 3 substantially equal tranches on the first of the month following an increase of closing stock price, as defined as the closing stock price on Nasdaq Stock Market by at least 50%, 100% and 150%, respectively, above the closing stock on December 31, 2022, when measured over 30 consecutive calendar days, provided such increase occurs within two years of the Date of Grant, otherwise such options shall be cancelled.
Unless otherwise disclosed, the option expires ten years after the date of grant.
/s/ Ryan Trytten, attorney-in-fact
2023-02-03