0001126234-23-000072.txt : 20230512 0001126234-23-000072.hdr.sgml : 20230512 20230512174452 ACCESSION NUMBER: 0001126234-23-000072 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230510 FILED AS OF DATE: 20230512 DATE AS OF CHANGE: 20230512 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Raffin Thomas A. CENTRAL INDEX KEY: 0001512119 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35342 FILM NUMBER: 23917374 MAIL ADDRESS: STREET 1: C/O NEWLINK GENETICS CORP. STREET 2: 2503 SOUTH LOOP DR., SUITE 5100 CITY: AIMES 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_168392787873750.xml FORM 4 X0407 4 2023-05-10 0 0001126234 LUMOS PHARMA, INC. (LUMO) 0001512119 Raffin Thomas A. 4200 MARATHON BLVD. SUITE 200 AUSTIN TN 78756 1 0 0 0 0 Stock Option (Right to Buy) 3.42 2023-05-10 4 A 0 3345 0 A 2033-05-09 Common Stock 3345.0 3345 D Grant to the Reporting Person of a nonstatutory stock option under the Issuer's 2009 Equity Incentive Plan (the "Plan"). One hundred percent (100%) of the shares shall vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, in each case subject to the Reporting Person's continuous service as of such date. The option expires ten years after the date of grant. /s/ Ryan Trytten, attorney-in-fact 2023-05-12