0001813316-22-000001.txt : 20220321
0001813316-22-000001.hdr.sgml : 20220321
20220321181149
ACCESSION NUMBER: 0001813316-22-000001
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220317
FILED AS OF DATE: 20220321
DATE AS OF CHANGE: 20220321
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BIOS Fund I, LP
CENTRAL INDEX KEY: 0001697316
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39318
FILM NUMBER: 22756705
BUSINESS ADDRESS:
STREET 1: 1401 FOCH STREET
STREET 2: SUITE 140
CITY: FORT WORTH
STATE: TX
ZIP: 76107
BUSINESS PHONE: 817-984-5964
MAIL ADDRESS:
STREET 1: 1401 FOCH STREET
STREET 2: SUITE 140
CITY: FORT WORTH
STATE: TX
ZIP: 76107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BIOS Fund I QP, LP
CENTRAL INDEX KEY: 0001700297
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39318
FILM NUMBER: 22756704
BUSINESS ADDRESS:
STREET 1: 1401 FOCH STREET, SUITE 140
CITY: FORT WORTH
STATE: TX
ZIP: 76107
BUSINESS PHONE: 817-984-5964
MAIL ADDRESS:
STREET 1: 1401 FOCH STREET, SUITE 140
CITY: FORT WORTH
STATE: TX
ZIP: 76107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Cavu Management, LP
CENTRAL INDEX KEY: 0001813270
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39318
FILM NUMBER: 22756710
BUSINESS ADDRESS:
STREET 1: 1751 RIVER RUN, SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
BUSINESS PHONE: 817-381-5370
MAIL ADDRESS:
STREET 1: 1751 RIVER RUN, SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Fletcher Aaron G.L.
CENTRAL INDEX KEY: 0001789490
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39318
FILM NUMBER: 22756706
MAIL ADDRESS:
STREET 1: 1751 RIVER RUN
STREET 2: SUITE 400
CITY: FT WORTH
STATE: TX
ZIP: 76107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BIOS Capital Management, LP
CENTRAL INDEX KEY: 0001813845
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39318
FILM NUMBER: 22756709
BUSINESS ADDRESS:
STREET 1: 1751 RIVER RUN
STREET 2: SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
BUSINESS PHONE: 817-984-9197
MAIL ADDRESS:
STREET 1: 1751 RIVER RUN
STREET 2: SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Cavu Advisors, LLC
CENTRAL INDEX KEY: 0001813310
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39318
FILM NUMBER: 22756708
BUSINESS ADDRESS:
STREET 1: 1751 RIVER RUN, SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
BUSINESS PHONE: 817-381-5370
MAIL ADDRESS:
STREET 1: 1751 RIVER RUN, SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Bios Equity Partners, LP
CENTRAL INDEX KEY: 0001813314
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39318
FILM NUMBER: 22756711
BUSINESS ADDRESS:
STREET 1: 1751 RIVER RUN, SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
BUSINESS PHONE: 817-381-5370
MAIL ADDRESS:
STREET 1: 1751 RIVER RUN, SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Kreis Leslie W.
CENTRAL INDEX KEY: 0001813316
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39318
FILM NUMBER: 22756712
MAIL ADDRESS:
STREET 1: 1751 RIVER RUN, SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BIOS Advisors GP, LLC
CENTRAL INDEX KEY: 0001813844
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39318
FILM NUMBER: 22756707
BUSINESS ADDRESS:
STREET 1: 1751 RIVER RUN
STREET 2: SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
BUSINESS PHONE: 817-984-9197
MAIL ADDRESS:
STREET 1: 1751 RIVER RUN
STREET 2: SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
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
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2022-03-17
0
0001763950
Lantern Pharma Inc.
LTRN
0001813316
Kreis Leslie W.
1751 RIVER RUN, SUITE 400
FORT WORTH
TX
76107
1
0
1
0
0001813314
Bios Equity Partners, LP
1751 RIVER RUN, SUITE 400
FORT WORTH
TX
76107
0
0
1
0
0001813270
Cavu Management, LP
1751 RIVER RUN, SUITE 400
FORT WORTH
TX
76107
0
0
1
0
0001813845
BIOS Capital Management, LP
1751 RIVER RUN
SUITE 400
FORT WORTH
TX
76107
0
0
1
0
0001813310
Cavu Advisors, LLC
1751 RIVER RUN, SUITE 400
FORT WORTH
TX
76107
0
0
1
0
0001813844
BIOS Advisors GP, LLC
1751 RIVER RUN
SUITE 400
FORT WORTH
TX
76107
0
0
1
0
0001789490
Fletcher Aaron G.L.
1751 RIVER RUN
SUITE 400
FT WORTH
TX
76107
0
0
1
0
0001697316
BIOS Fund I, LP
1751 RIVER RUN, SUITE 400
FORT WORTH
TX
76107
0
0
1
0
0001700297
BIOS Fund I QP, LP
1751 RIVER RUN, SUITE 400
FORT WORTH
TX
76107
0
0
1
0
Common Stock
2022-03-17
4
X
0
60432
189152.16
A
564038
I
Bios Fund I, LP
Common Stock
2022-03-17
4
X
0
35347
110636.11
A
329904
I
Bios Fund I QP, LP
Common Stock
204723
I
Bios Fund II, LP
Common Stock
668738
I
Bios Fund II QP, LP
Common Stock
89522
I
Bios Fund II NT, LP
Series A Warrants
2022-03-17
4
X
0
60432
D
2017-03-17
2022-03-17
Common Stock
60432
0
I
Bios Fund I, LP
Series A Warrants
2022-03-17
4
X
0
35347
D
2017-03-17
2022-03-17
Common Stock
35347
0
I
Bios Fund I QP, LP
Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I") and Bios Fund I QP, LP ("Bios Fund I QP"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP") and Bios Fund II NT, LP ("Bios Fund II NT"). Cavu Management, LP ("Cavu Management"), an entity managed and controlled by Mr. Kreis, and Bios Capital Management, LP ("Bios Management"), an entity managed and controlled by Aaron Glenn Louis Fletcher, are each a general partner of Bios Equity I and Bios Equity II. Cavu Advisors LLC ("Cavu Advisors"), an entity that is managed and controlled by Mr. Kreis, is the general partner of Cavu Management. Bios Advisors GP, LLC ("Bios Advisors"), an entity that is managed and controlled by Mr. Fletcher, is the general partner of Bios Management.
Mr. Kreis, Cavu Management, Cavu Advisors, Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund I, Bios Fund I QP, Bios Fund II, Bios Fund II QP and Bios Fund II NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Kreis, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors and the Bios Equity Entities, Mr. Kreis, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities.
Bios Fund I exercised warrants to purchase 60,432 shares of common stock at an exercise price of $3.13 per share.
Bios Fund I QP exercised warrants to purchase 35,347 shares of common stock at an exercise price of $3.13 per share.
For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
/s/ Leslie W. Kreis, Jr.
2022-03-21
Bios Equity Partners, LP, By: Cavu Management, LP, its general partner, By: Cavu Advisors, LLC, its general partner, By: /s/ Leslie W. Kreis, Jr, Manager
2022-03-21
Cavu Management, LP, By: Cavu Advisors, LLC, its general partner, By: /s/ Leslie W. Kreis, Jr, Manager
2022-03-21
Bios Capital Management, LP, By: Bios Advisors GP, LLC, its general partner, By /s/ Aaron Glenn Louis Fletcher, Manager
2022-03-21
Cavu Advisors, LLC, By: /s/ Leslie W. Kreis, Jr, Manager
2022-03-21
Bios Advisors GP, LLC, By: /s/ Aaron Glenn Louis Fletcher, Manager
2022-03-21
/s/ Aaron Glenn Louis Fletcher
2022-03-21
Bios Fund I, LP, By: Bios Equity Partners, LP, its general partner, By: Cavu Management, LP, its general partner, By: Cavu Advisors, LLC, its general partner, By: /s/ Leslie W. Kreis, Jr, Manager
2022-03-21
Bios Fund I QP, LP, By: Bios Equity Partners, LP, its general partner, By: Cavu Management, LP, its general partner, By: Cavu Advisors, LLC, its general partner, By: /s/ Leslie W. Kreis, Jr, Manager
2022-03-21