0001126234-20-000048.txt : 20200403 0001126234-20-000048.hdr.sgml : 20200403 20200403182248 ACCESSION NUMBER: 0001126234-20-000048 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200401 FILED AS OF DATE: 20200403 DATE AS OF CHANGE: 20200403 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McKew John C. CENTRAL INDEX KEY: 0001640560 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35342 FILM NUMBER: 20775259 MAIL ADDRESS: STREET 1: C/O LUMOS PHARMA STREET 2: 4200 MARATHON BLVD, STE 200 CITY: AUSTIN STATE: TX ZIP: 78756 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LUMOS PHARMA, INC. CENTRAL INDEX KEY: 0001126234 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] 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 wf-form4_158595255101481.xml FORM 4 X0306 4 2020-04-01 0 0001126234 LUMOS PHARMA, INC. (LUMO) 0001640560 McKew John C. 4200 MARATHON BLVD SUITE 200 AUSTIN TX 78756 0 1 0 0 Chief Scientific Officer Common Stock 2020-04-01 4 A 0 13000 0 A 13000 D Stock Option (Right to Buy) 7.87 2020-04-01 4 A 0 65000 0 A 2030-03-31 Common Stock 65000.0 65000 D Represents shares issued as restricted stock units ("RSUs") under the Issuer's 2009 Equity Incentive Plan, as amended, (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, 2021, 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. 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, 2020, 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 2020-04-03