0001126234-21-000011.txt : 20210203 0001126234-21-000011.hdr.sgml : 20210203 20210203185226 ACCESSION NUMBER: 0001126234-21-000011 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210201 FILED AS OF DATE: 20210203 DATE AS OF CHANGE: 20210203 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: 21587997 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_161239633338332.xml FORM 4 X0306 4 2021-02-01 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 2021-02-01 4 A 0 1078 0 A 14262 D Stock Option (Right to Buy) 17.35 2021-02-01 4 A 0 33175 0 A 2031-01-31 Common Stock 33175.0 33175 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 February 1, 2022, 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. Includes 13,000 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of four successive annual installments with the next installment occurring 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. Includes 184 shares acquired under the Lumos Pharma, Inc. 2010 Employee Stock Purchase Plan on December 31, 2020. Grant to the Reporting Person of a stock option under the Plan. 23,175 of the options vest and become exercisable in a series of 48 successive equal monthly installments beginning on March 1, 2021, 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 remaining 10,000 stock options vest and become exercisable as follows: (a) 5,000 of such shares shall vest on the 1st of the month following enrollment reaching 50% of total patients enrolled for the LUM-201 trial, and (b) 5,000 of such shares shall vest on the 1st of the month following completion of the LUM-201 trial, in each case as determined by the Board. The option expires ten years after the date of grant. /s/ Ryan Trytten, attorney-in-fact 2021-02-03