0001126234-24-000037.txt : 20240403 0001126234-24-000037.hdr.sgml : 20240403 20240403171039 ACCESSION NUMBER: 0001126234-24-000037 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240401 FILED AS OF DATE: 20240403 DATE AS OF CHANGE: 20240403 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pitukcheewanont Pisit Duke CENTRAL INDEX KEY: 0002006724 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35342 FILM NUMBER: 24819941 MAIL ADDRESS: STREET 1: 4200 MARATHON BLVD STREET 2: SUITE 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] 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_1712178624.xml FORM 4 X0508 4 2024-04-01 0 0001126234 LUMOS PHARMA, INC. (LUMO) 0002006724 Pitukcheewanont Pisit Duke 4200 MARATHON BLVD SUITE 200 AUSTIN TX 78756 0 1 0 0 Chief Medical Officer 0 Common Stock 2024-04-01 4 A 0 6000 2.84 A 16930 D Stock Option (Right to Buy) 2.84 2024-04-01 4 A 0 41500 0 A 2034-03-31 Common Stock 41500 41500 D Represents shares issued as restricted stock units ("RSUs") under the Issuer's 2009 Equity Incentive Plan (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, 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 3,938 RSUs 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 June 1, 2024, 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 4,500 RSUs 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 July 1, 2024, 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, 2024, 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. /s/ Ryan Trytten, attorney-in-fact 2024-04-03