0001104659-24-005238.txt : 20240119
0001104659-24-005238.hdr.sgml : 20240119
20240119163018
ACCESSION NUMBER: 0001104659-24-005238
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240117
FILED AS OF DATE: 20240119
DATE AS OF CHANGE: 20240119
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Cavu Advisors, LLC
CENTRAL INDEX KEY: 0001813310
ORGANIZATION NAME:
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39318
FILM NUMBER: 24545984
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
ORGANIZATION NAME:
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39318
FILM NUMBER: 24545985
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
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39318
FILM NUMBER: 24545986
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
ORGANIZATION NAME:
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39318
FILM NUMBER: 24545983
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]
ORGANIZATION NAME: 03 Life Sciences
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
tm243706-1_4seq1.xml
OWNERSHIP DOCUMENT
X0508
4
2024-01-17
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
217553
I
By Bios Fund I QP, LP(
Common Stock
371950
I
By Bios Fund I, LP
Common Stock
2024-01-17
4
X
0
7347
3.13
A
79121
I
By Bios Fund II NT, LP
Common Stock
2024-01-17
4
S
0
5475
4.20
D
73646
I
By Bios Fund II NT, LP
Common Stock
2024-01-17
4
X
0
54873
3.13
A
591036
I
By Bios Fund II QP, LP
Common Stock
2024-01-17
4
S
0
40893
4.20
D
550143
I
By Bios Fund II QP, LP
Common Stock
2024-01-17
4
X
0
16801
3.13
A
180938
I
By Bios Fund II, LP
Common Stock
2024-01-17
4
S
0
12521
4.20
D
168417
I
By Bios Fund II, LP
Common Stock
26093
I
By BP Directors, LP
Series A Warrants
3.13
2024-01-17
4
X
0
7347
0
D
2019-03-07
2024-03-07
Common Stock
7347
0
I
By Bios Fund II NT, LP
Series A Warrants
3.13
2024-01-17
4
X
0
54873
0
D
2019-03-07
2024-03-07
Common Stock
54873
0
I
By Bios Fund II QP, LP
Series A Warrants
3.13
2024-01-17
4
X
0
16801
0
D
2019-03-07
2024-03-07
Common Stock
16801
0
I
By Bios Fund II, LP
On January 17, 2024, each of Bios Fund II NT, LP ("Bios Fund II NT"), Bios Fund II QP, LP ("Bios Fund II QP") and Bios Fund II, LP ("Bios Fund II") exercised warrants to purchase 7,347, 54,873 and 16,801, respectively, shares of common stock of the Issuer. Each of Bios Fund II NT, Bios Fund II QP and Bios Fund II paid the exercise price on a cashless basis, resulting in the Issuer withholding 5,475, 40,893 and 12,521, respectively, of the warrant shares to pay the exercise price and issuing Bios Fund II NT, Bios Fund II QP and Bios Fund II the remaining 1,872, 13,980 and 4,280 shares respectively.
Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I"), Bios Fund I QP, LP ("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, Bios Fund II QP and 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.
Leslie W. Kreis, Jr By: /s/ Daniel Schwarz, as attorney-in-fact
2023-01-19
Cavu Management, LP By: Cavu Advisors, LLC, its general partner By: /s/ Daniel Schwarz, as attorney-in-fact
2023-01-19
Cavu Advisors, LLC By: /s/ Daniel Schwarz, as attorney-in-fact
2023-01-19
BP Directors, LP By: Bios Equity Partners, LP, its general partner By: Cavu Management, LP By: Cavu Advisors, LLC, its general partner By: /s/ Daniel Schwarz, as attorney-in-fact
2023-01-19