0001126234-24-000015.txt : 20240205 0001126234-24-000015.hdr.sgml : 20240205 20240205175414 ACCESSION NUMBER: 0001126234-24-000015 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240201 FILED AS OF DATE: 20240205 DATE AS OF CHANGE: 20240205 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hawkins Richard J CENTRAL INDEX KEY: 0001307632 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35342 FILM NUMBER: 24597152 MAIL ADDRESS: STREET 1: 950 TOWER LANE, SUITE 900 CITY: FOSTER CITY STATE: CA ZIP: 94404-2125 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LUMOS PHARMA, INC. CENTRAL INDEX KEY: 0001126234 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences 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 wk-form4_1707173641.xml FORM 4 X0508 4 2024-02-01 0 0001126234 LUMOS PHARMA, INC. (LUMO) 0001307632 Hawkins Richard J 4200 MARATHON BLVD SUITE 200 AUSTIN TX 78756 1 1 0 0 Chief Executive Officer 0 Common Stock 2024-02-01 4 F 0 690 3.01 D 750115 D Common Stock 4469 I By Charitable Trust Represents shares of Common Stock withheld by the Issuer in satisfaction of its tax withholding obligation with respect to the vesting of 2,832 previously reported restricted stock units ("RSUs") granted to the Reporting Person. Includes 6,250 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 on April 1, 2024, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. Includes 583 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 on February 1, 2025, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. Includes 2,250 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 two successive annual installments with the next installment occurring on February 1, 2025, 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 3,375 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 three successive annual installments with the next installment occurring on February 1, 2025, 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 2024-02-05