0001126234-20-000045.txt : 20200403
0001126234-20-000045.hdr.sgml : 20200403
20200403182144
ACCESSION NUMBER: 0001126234-20-000045
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: Kennedy Eugene P.
CENTRAL INDEX KEY: 0001721685
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35342
FILM NUMBER: 20775251
MAIL ADDRESS:
STREET 1: 2503 SOUTH LOOP DRIVE
CITY: AMES
STATE: IA
ZIP: 50010
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_158595248750976.xml
FORM 4
X0306
4
2020-04-01
0
0001126234
LUMOS PHARMA, INC.
(LUMO)
0001721685
Kennedy Eugene P.
4200 MARATHON BLVD.
SUITE 200
AUSTIN
TX
78756
0
1
0
0
Chief Medical Officer
Common Stock
2020-04-01
4
A
0
9000
0
A
10484
D
Stock Option (Right to Buy)
7.87
2020-04-01
4
A
0
45000
0
A
2030-03-31
Common Stock
45000.0
45000
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.
The Issuer effected a 1-for-9 reverse stock split of its common stock on March 18, 2020. All share and per share exercise price amounts shown in this Form 4 have been adjusted to reflect the reverse stock split.
/s/ Ryan Trytten, attorney-in-fact
2020-04-03