0001126234-24-000038.txt : 20240403
0001126234-24-000038.hdr.sgml : 20240403
20240403171104
ACCESSION NUMBER: 0001126234-24-000038
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240401
FILED AS OF DATE: 20240403
DATE AS OF CHANGE: 20240403
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Lawley Lori D
CENTRAL INDEX KEY: 0001747716
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35342
FILM NUMBER: 24819951
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]
ORGANIZATION NAME: 03 Life Sciences
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
wk-form4_1712178647.xml
FORM 4
X0508
4
2024-04-01
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
0
Common Stock
2024-04-01
4
A
0
1000
2.84
A
12787
D
Common Stock
2024-04-01
4
F
0
274
2.84
D
12513
D
Stock Option (Right to Buy)
2.84
2024-04-01
4
A
0
12000
0
A
2034-03-31
Common Stock
12000
12000
D
Represents shares issued as restricted stock units ("RSUs") under the Issuer's 2009 Equity Incentive Plan (the "Plan") that were received as an award, for no consideration. The RSUs vest in a series of four successive annual installments beginning on April 1, 2025, 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 218 RSUs granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person on February 1, 2025, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan.
Includes 1,875 RSUs 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 August 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 RSUs 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, 2025, 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 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, 2025, 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.
Represents shares of Common Stock withheld by the Issuer in satisfaction of its tax withholding obligation with respect to the vesting of 1,125 previously reported RSUs granted to the Reporting Person.
Grant to the Reporting Person of a stock option under the Plan. The option vests and becomes exercisable in a series of 48 successive equal monthly installments beginning on May 1, 2024, 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.
/s/ Ryan Trytten, attorney-in-fact
2024-04-03