0001126234-21-000117.txt : 20210819 0001126234-21-000117.hdr.sgml : 20210819 20210819201447 ACCESSION NUMBER: 0001126234-21-000117 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210817 FILED AS OF DATE: 20210819 DATE AS OF CHANGE: 20210819 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LALANDE KEVIN M. CENTRAL INDEX KEY: 0001587800 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35342 FILM NUMBER: 211191478 MAIL ADDRESS: STREET 1: 201 WEST 5TH STREET CITY: AUSTIN STATE: TX ZIP: 78701 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_162941847535904.xml FORM 4 X0306 4 2021-08-17 0 0001126234 LUMOS PHARMA, INC. (LUMO) 0001587800 LALANDE KEVIN M. 4200 MARATHON BLVD SUITE 200 AUSTIN TX 78756 1 0 0 0 Common Stock 2021-08-17 4 P 0 16000 8.4654 A 518627 I By Sante Health Ventures II, LP Common Stock 2021-08-18 4 P 0 28870 8.7291 A 547497 I By Sante Health Ventures II, LP Common Stock 2021-08-19 4 P 0 20000 8.4485 A 567497 I By Sante Health Ventures II, LP Common Stock 1076 D The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.13 to $8.60, inclusive. The reporting person undertakes to provide to the issuer, any security holder of issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the ranges set forth in this footnote to this Form 4. The reporting person is a managing director of SHV Management Services, LLC ("SHV Management"). SHV Management is the general partner of SHV Management Services, LP, which is the general partner of the partnership that directly owns the reported securities. The reporting person disclaims beneficial ownership of the securities reported except to the extent of his pecuniary interest, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all the reported securities for purposes of Section 16 or for any other purpose. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.16 to $8.95, inclusive. The reporting person undertakes to provide to the issuer, any security holder of issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the ranges set forth in this footnote to this Form 4. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.36 to $8.52, inclusive. The reporting person undertakes to provide to the issuer, any security holder of issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the ranges set forth in this footnote to this Form 4. Includes 473 restricted stock units ("RSUs") previously reported as holdings of the Reporting Person granted under the Issuer's 2010 Non-Employee Directors' Stock Award Plan (the "Plan"). The RSUs will vest, and shares will be delivered to the Reporting Person in a series of two successive annual installments with the next installment occurring on April 3, 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. /s/ Ryan Trytten, attorney-in-fact 2021-08-19