0001104659-23-122539.txt : 20231201 0001104659-23-122539.hdr.sgml : 20231201 20231201060035 ACCESSION NUMBER: 0001104659-23-122539 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20231129 FILED AS OF DATE: 20231201 DATE AS OF CHANGE: 20231201 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: 231457420 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: 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: 231457421 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: 231457422 MAIL ADDRESS: STREET 1: 1751 RIVER RUN, SUITE 400 CITY: FORT WORTH STATE: TX ZIP: 76107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BP Directors, LP CENTRAL INDEX KEY: 0001813311 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39318 FILM NUMBER: 231457419 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 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 tm2331347-1_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2023-11-29 0 0001763950 Lantern Pharma Inc. LTRN 0001813316 Kreis Leslie W. C/O LANTERN PHARMA INC. 1920 MCKINNEY AVENUE, 7TH FLOOR DALLAS TX 75201 0 0 1 0 0001813270 Cavu Management, LP C/O LANTERN PHARMA INC. 1920 MCKINNEY AVENUE, 7TH FLOOR DALLAS TX 75201 0 0 1 0 0001813310 Cavu Advisors, LLC C/O LANTERN PHARMA INC. 1920 MCKINNEY AVENUE, 7TH FLOOR DALLAS TX 75201 0 0 1 0 0001813311 BP Directors, LP C/O LANTERN PHARMA INC. 1920 MCKINNEY AVENUE, 7TH FLOOR DALLAS TX 75201 0 0 1 0 0 Common Stock 2023-11-29 4 S 0 53640 3.44 D 217553 I By Bios Fund I QP, LP Common Stock 2023-11-29 4 S 0 91708 3.44 D 371950 I By Bios Fund I, LP Common Stock 71774 I By Bios Fund II NT, LP Common Stock 536163 I By Bios Fund II QP, LP Common Stock 164137 I By Bios Fund II, LP Common Stock 26093 I By BP Directors, LP On November 22, 2023, Lantern Pharma Inc. (the "Issuer") purchased 53,640 and 91,708 shares of common stock from Bios Fund I QP, LP ("Bios Fund I QP") and Bios Fund I, LP ("Bios Fund I"), respectively, for an aggregate purchase price of $529,828.80. These purchases were approved by the board of directors of the Issuer. Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, Bios Fund I QP and BP Directors, LP ("Bios Directors"). 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 Directors, 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. 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. This Form 4 is the first of two Forms 4 filed relating to the same event. The Form 4 has been split into two filings because there are more than 10 reporting persons in total, and the SEC's EDGAR filing system limits a single Form 4 to a maximum of 10 reporting person. The second Form 4 will be filed by Aaron Glenn Louis Fletcher as the designated filer. Exhibit 24.1 - Power of Attorney /s/ Leslie W. Kreis, Jr 2023-12-01 Cavu Management, LP By: Cavu Advisors, LLC, its general partner By: /s/ Leslie W. Kreis, Jr, Manager 2023-12-01 Cavu Advisors, LLC By: /s/ Leslie W. Kreis, Jr, Manager 2023-12-01 BP Directors, LP By: Bios Equity Partners, LP, its general partner By: Cavu Management, LP By: Cavu Advisors, LLC, its general partner By: /s/ Leslie W. Kreis, Jr, Manager 2023-12-01 EX-24.1 2 tm2331347d1_ex24-1.htm EXHIBIT 24.1

Exhibit 24.1

POWER OF ATTORNEY

The undersigned hereby constitute and appoint Daniel Schwarz, the lawful attorney-in-fact and agent with full power and authority to execute and file on the undersigned’s behalf, any and all instruments including Forms 3, 4 and 5, and Schedules 13D and 13G (collectively, the “Filings”), and any amendments, supplements or successor forms thereto pursuant to the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and any rules or regulations or requirements of the Securities and Exchange Commission in connection with the undersigned’s reporting obligations with respect to securities of Lantern Pharma Inc., a Delaware corporation, pursuant to Section 13(d) of the Exchange Act and Section 16(b) of the Exchange Act.

The authority of such attorney-in-fact shall continue until the undersigned is no longer required to file any of the Filings, unless earlier revoked in writing. The undersigned hereby ratifies, confirms and approves in all respects all Filings (including amendments thereto) and actions taken by any of the attorney-in-fact relating to such Filings.

The undersigned acknowledges that the attorneys-in-fact are not assuming any of the undersigned’s responsibilities to comply with Section 13 or Section 16 of the Exchange Act.

IN WITNESS WHEREOF, each of the undersigned has executed this Power of Attorney as of the date indicated.

Dated: November 22, 2023

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 Wayne Kreis, Jr.

Leslie Wayne Kreis, Jr.

Manager

By: Bios Capital Management, LP,

its general partner

By: Bios Advisors GP, LLC,

its general partner

By: /s/ Aaron Glenn Louis Fletcher

Aaron Glenn Louis Fletcher

Manager

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 Wayne Kreis, Jr.
				Leslie Wayne Kreis, Jr.,
				Manager

	By:	Bios Capital Management, LP,
		its general partner

		By:	Bios Advisors GP, LLC,
			its general partner

			By:	/s/ Aaron Glenn Louis Fletcher
				Aaron Glenn Louis Fletcher,
				Manager

BP DIRECTORS, 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 Wayne Kreis, Jr.
				Leslie Wayne Kreis, Jr.,
				Manager

	By:	Bios Capital Management, LP,
		its general partner

		By:	Bios Advisors GP, LLC,
			its general partner

			By:	/s/ Aaron Glenn Louis Fletcher
				Aaron Glenn Louis Fletcher,
				Manager

BIOS FUND II, LP

By:	Bios Equity Partners II, LP,
	its general partner

	By:	Cavu Management, LP,
		its general partner

		By:	Cavu Advisors, LLC,
			its general partner

			By:	/s/ Leslie Wayne Kreis, Jr.
				Leslie Wayne Kreis, Jr.
				Manager

	By:	Bios Capital Management, LP,
		its general partner

		By:	Bios Advisors GP, LLC,
			its general partner

			By:	/s/ Aaron Glenn Louis Fletcher
				Aaron Glenn Louis Fletcher
				Manager

BIOS FUND II QP, LP

By:	Bios Equity Partners II, LP,
	its general partner

	By:	Cavu Management, LP,
		its general partner

		By:	Cavu Advisors, LLC,
			its general partner

			By:	/s/ Leslie Wayne Kreis, Jr.
				Leslie Wayne Kreis, Jr.,
				Manager

	By:	Bios Capital Management, LP,
		its general partner

		By:	Bios Advisors GP, LLC,
			its general partner

			By:	/s/ Aaron Glenn Louis Fletcher
				Aaron Glenn Louis Fletcher,
				Manager

BIOS FUND II NT, LP

By:	Bios Equity Partners II, LP,
	its general partner

	By:	Cavu Management, LP,
		its general partner

		By:	Cavu Advisors, LLC,
			its general partner

			By:	/s/ Leslie Wayne Kreis, Jr.
				Leslie Wayne Kreis, Jr.,
				Manager

	By:	Bios Capital Management, LP,
		its general partner

		By:	Bios Advisors GP, LLC,
			its general partner

			By:	/s/ Aaron Glenn Louis Fletcher
				Aaron Glenn Louis Fletcher,
				Manager

BIOS EQUITY PARTNERS, LP

By:	Cavu Management, LP,
	its general partner

	By:	Cavu Advisors, LLC,
		its general partner

		By:	/s/ Leslie Wayne Kreis, Jr.
			Leslie Wayne Kreis, Jr.,
			Manager

By:	Bios Capital Management, LP,
	its general partner

	By:	Bios Advisors GP, LLC,
		its general partner

		By:	/s/ Aaron Glenn Louis Fletcher
			Aaron Glenn Louis Fletcher,
			Manager

BIOS EQUITY PARTNERS II, LP

By:	Cavu Management, LP,
	its general partner

	By:	Cavu Advisors, LLC,
		its general partner

		By:	/s/ Leslie Wayne Kreis, Jr.
			Leslie Wayne Kreis, Jr.,
			Manager

By:	Bios Capital Management, LP,
	its general partner

	By:	Bios Advisors GP, LLC,
		its general partner

		By:	/s/ Aaron Glenn Louis Fletcher
			Aaron Glenn Louis Fletcher,
			Manager

CAVU MANAGEMENT, LP

By:	Cavu Advisors, LLC,
	its general partner

	By:	/s/ Leslie Wayne Kreis, Jr.
		Leslie Wayne Kreis, Jr.,
		Manager

BIOS CAPITAL MANAGEMENT, LP

By:	Bios Advisors GP, LLC
	its general partner

	By:	/s/ Aaron Glenn Louis Fletcher
		Aaron Glenn Louis Fletcher
		Manager

CAVU ADVISORS, LLC

By:	/s/ Leslie Wayne Kreis, Jr.
	Leslie Wayne Kreis, Jr.,
	Manager

BIOS ADVISORS GP, LLC

By:	/s/ Aaron Glenn Louis Fletcher
	Aaron Glenn Louis Fletcher,
	Manager

	/s/ Leslie Wayne Kreis, Jr.
	LESLIE WAYNE KREIS, JR., in his individual capacity

	/s/ Aaron Glenn Louis Fletcher
	AARON GLENN LOUIS FLETCHER, in his individual capacity

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 Wayne Kreis, Jr.
				Leslie Wayne Kreis, Jr.
				Manager

	By:	Bios Capital Management, LP,
		its general partner

		By:	Bios Advisors GP, LLC,
			its general partner

			By:	/s/ Aaron Glenn Louis Fletcher
				Aaron Glenn Louis Fletcher
				Manager