0000899243-20-016898.txt : 20200617 0000899243-20-016898.hdr.sgml : 20200617 20200617173514 ACCESSION NUMBER: 0000899243-20-016898 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200615 FILED AS OF DATE: 20200617 DATE AS OF CHANGE: 20200617 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Green Park & Golf Ventures II, LLC CENTRAL INDEX KEY: 0001782733 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39318 FILM NUMBER: 20970657 BUSINESS ADDRESS: STREET 1: 5910 N. CENTRAL EXPY STREET 2: SUITE1400 CITY: DALLAS STATE: TX ZIP: 75206 BUSINESS PHONE: 2149165750 MAIL ADDRESS: STREET 1: 5910 N. CENTRAL EXPY STREET 2: SUITE1400 CITY: DALLAS STATE: TX ZIP: 75206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GPG LPI Investment, LLC CENTRAL INDEX KEY: 0001814288 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39318 FILM NUMBER: 20970658 BUSINESS ADDRESS: STREET 1: 5910 N. CENTRAL EXPRESSWAY, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75206 BUSINESS PHONE: 214-916-5750 MAIL ADDRESS: STREET 1: 5910 N. CENTRAL EXPRESSWAY, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lantern 3-19 Investment, LLC CENTRAL INDEX KEY: 0001814295 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39318 FILM NUMBER: 20970659 BUSINESS ADDRESS: STREET 1: 5910 N. CENTRAL EXPRESSWAY, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75206 BUSINESS PHONE: 214-916-5750 MAIL ADDRESS: STREET 1: 5910 N. CENTRAL EXPRESSWAY, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Health Wildcatters Fund II, LLC CENTRAL INDEX KEY: 0001814292 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39318 FILM NUMBER: 20970660 BUSINESS ADDRESS: STREET 1: 5910 N. CENTRAL EXPRESSWAY, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75206 BUSINESS PHONE: 214-916-5750 MAIL ADDRESS: STREET 1: 5910 N. CENTRAL EXPRESSWAY, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Health Wildcatters, LLC CENTRAL INDEX KEY: 0001814291 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39318 FILM NUMBER: 20970661 BUSINESS ADDRESS: STREET 1: 5910 N. CENTRAL EXPRESSWAY, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75206 BUSINESS PHONE: 214-916-58750 MAIL ADDRESS: STREET 1: 5910 N. CENTRAL EXPRESSWAY, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Green Park & Golf Ventures, LLC CENTRAL INDEX KEY: 0001598984 STATE OF INCORPORATION: TX FISCAL YEAR END: 1214 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39318 FILM NUMBER: 20970662 BUSINESS ADDRESS: STREET 1: 5910 N. CENTRAL EXPRESSWAY, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75206 BUSINESS PHONE: 214-916-5750 MAIL ADDRESS: STREET 1: 5910 N. CENTRAL EXPRESSWAY, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Garcia Gilbert G. II CENTRAL INDEX KEY: 0001814289 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39318 FILM NUMBER: 20970663 MAIL ADDRESS: STREET 1: 5910 N. CENTRAL EXPRESSWAY, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Heighten Clay M CENTRAL INDEX KEY: 0001599114 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39318 FILM NUMBER: 20970664 MAIL ADDRESS: STREET 1: 5910 N. CENTRAL EXPRESSWAY, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Soderstrom Carl D CENTRAL INDEX KEY: 0001598985 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39318 FILM NUMBER: 20970665 MAIL ADDRESS: STREET 1: 5910 N. CENTRAL EXPRESSWAY, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75206 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Lantern Pharma Inc. CENTRAL INDEX KEY: 0001763950 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 463973463 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1920 MCKINNEY AVENUE STREET 2: 7TH FLOOR CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 972-277-1136 MAIL ADDRESS: STREET 1: 1920 MCKINNEY AVENUE STREET 2: 7TH FLOOR CITY: DALLAS STATE: TX ZIP: 75201 FORMER COMPANY: FORMER CONFORMED NAME: Lantern Pharma DATE OF NAME CHANGE: 20190108 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-06-15 0 0001763950 Lantern Pharma Inc. LTRN 0001782733 Green Park & Golf Ventures II, LLC 5910 N. CENTRAL EXPY, SUITE 1400 DALLAS TX 75206 0 0 1 0 0001814288 GPG LPI Investment, LLC 5910 N. CENTRAL EXPY, SUITE 1400 DALLAS TX 75206 0 0 1 0 0001814295 Lantern 3-19 Investment, LLC 5910 N. CENTRAL EXPY, SUITE 1400 DALLAS TX 75206 0 0 1 0 0001814292 Health Wildcatters Fund II, LLC 5910 N. CENTRAL EXPY, SUITE 1400 DALLAS TX 75206 0 0 1 0 0001814291 Health Wildcatters, LLC 5910 N. CENTRAL EXPY, SUITE 1400 DALLAS TX 75206 0 0 1 0 0001598984 Green Park & Golf Ventures, LLC 5910 N. CENTRAL EXPY, SUITE 1400 DALLAS TX 75206 0 0 1 0 0001814289 Garcia Gilbert G. II 5910 N. CENTRAL EXPY, SUITE 1400 DALLAS TX 75206 0 0 1 0 0001599114 Heighten Clay M 5910 N. CENTRAL EXPY, SUITE 1400 DALLAS TX 75206 0 0 1 0 0001598985 Soderstrom Carl D 5910 N. CENTRAL EXPY, SUITE 1400 DALLAS TX 75206 0 0 1 0 Common Stock, par value $0.0001 2020-06-15 4 C 0 41535 A 211291 I See footnote Common Stock, par value $0.0001 2020-06-15 4 C 0 292605 A 292605 I See footnote Common Stock, par value $0.0001 2020-06-15 4 C 0 131697 A 131697 I See footnote Series A Preferred Stock, par value $0.01 2020-06-15 4 C 0 23871 D Common Stock 41535 0 I See footnote Series A Preferred Stock, par value $0.01 2020-06-15 4 C 0 168164 D Common Stock 292605 0 I See footnote Series A Preferred Stock, par value $0.01 2020-06-16 4 C 0 75688 D Common Stock 131697 0 I See footnote These securities are directly held by Health Wildcatters Fund II, LLC ("HWF II"). Carl D. Soderstrom and Clay M. Heighten, M.D. are the managing members of Green Park & Golf Ventures, LLC ("GPG"), which is the managing member of Health Wildcatters, LLC ("HW"), which is the managing member of HWF II. Therefore, Carl D. Soderstrom, Clay M. Heighten, M.D., GPG, and HW may be deemed to beneficially own these securities. These securities are directly held by GPG LPI Investment, LLC ("GPG LPI"). Carl D. Soderstrom and Clay M. Heighten, M.D. are the managing members of GPG, which is the managing member GPG LPI. Therefore, Carl D. Soderstrom, Clay M. Heighten, M.D., and GPG may be deemed to beneficially own these securities. These securities are directly held by Lantern 3-19 Investment, LLC ("Lantern 3-19"). Carl D. Soderstrom, Clay M. Heighten, M.D., and Gilbert G. Garcia II are the managing members of Green Park & Golf Ventures II, LLC ("GPG II"), which is the managing member Lantern 3-19. Therefore, Carl D. Soderstrom, Clay M. Heighten, M.D., Gilbert G. Garcia II, and GPG II may be deemed to beneficially own these securities. In connection with the Issuer's initial public offering, which commenced on June 10, 2020 and closed on June 15, 2020 (the "Initial Public Offering"), the Issuer effected a 1.74-for-1 stock split on its outstanding common stock, par value $0.0001 (the "Common Stock"), which was made effective immediately prior to the closing of the Issuer's Initial Public Offering (the "Stock Split"). The share amounts set forth in this column reflect the Stock Split. In connection with the Initial Public Offering, 23,871 shares of the Issuer's Series A Preferred Stock, par value $0.01 ("Series A Preferred Stock"), directly held by HWF II, which had no expiration date, were automatically converted into 41,535 shares of Common Stock for no additional consideration immediately prior to the closing of the Initial Public Offering. In connection with the Initial Public Offering, 168,164 shares of Series A Preferred Stock directly held by GPG LPI, which had no expiration date, were automatically converted into 292,605 shares of Common Stock for no additional consideration immediately prior to the closing of the Initial Public Offering. In connection with the Initial Public Offering, approximately 75,688 shares of Series A Preferred Stock directly held by Lantern 3-19, which had no expiration date, were automatically converted into 131,697 shares of Common Stock for no additional consideration immediately prior to the closing of the Initial Public Offering. (8) Signed by Gilbert G. Garcia II in his capacity as Principal of Green Park & Golf Ventures, LLC, the managing member of GPG LPI Investment, LLC. (9) Signed by Gilbert G. Garcia II in his capacity as Manager of Green Park & Golf Ventures II, LLC, the managing member of Lantern 3-19 Investment, LLC. (10) Signed by Gilbert G. Garcia II in his capacity as Principal of Green Park & Golf Ventures, LLC, the managing member of Health Wildcatters, LLC, the managing member of Health Wildcatters Fund II, LLC. (11) Signed by Gilbert G. Garcia II in his capacity as Principal of Green Park & Golf Ventures, LLC, the managing member of Health Wildcatters, LLC. (12) Signed by Gilbert G. Garcia II in his capacity as Manager of Green Park & Golf Ventures II, LLC. (13) Signed by Gilbert G. Garcia II in his capacity as Principal of Green Park & Golf Ventures, LLC. /s/ Gilbert G. Garcia II (8) 2020-06-17 /s/ Gilbert G. Garcia II (9) 2020-06-17 /s/ Gilbert G. Garcia II (10) 2020-06-17 /s/ Gilbert G. Garcia II (11) 2020-06-17 /s/ Gilbert G. Garcia II (12) 2020-06-17 /s/ Gilbert G. Garcia II (13) 2020-06-17 /s/ Gilbert G. Garcia II 2020-06-17 /s/ Clay M. Heighten M.D. 2020-06-17 /s/ Carl D. Soderstrom 2020-06-17