0001104659-22-098246.txt : 20220907
0001104659-22-098246.hdr.sgml : 20220907
20220907165503
ACCESSION NUMBER: 0001104659-22-098246
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220902
FILED AS OF DATE: 20220907
DATE AS OF CHANGE: 20220907
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BIOS Fund I, LP
CENTRAL INDEX KEY: 0001697316
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39318
FILM NUMBER: 221231739
BUSINESS ADDRESS:
STREET 1: 1401 FOCH STREET
STREET 2: SUITE 140
CITY: FORT WORTH
STATE: TX
ZIP: 76107
BUSINESS PHONE: 817-984-5964
MAIL ADDRESS:
STREET 1: 1401 FOCH STREET
STREET 2: SUITE 140
CITY: FORT WORTH
STATE: TX
ZIP: 76107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BIOS Fund I QP, LP
CENTRAL INDEX KEY: 0001700297
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39318
FILM NUMBER: 221231738
BUSINESS ADDRESS:
STREET 1: 1401 FOCH STREET, SUITE 140
CITY: FORT WORTH
STATE: TX
ZIP: 76107
BUSINESS PHONE: 817-984-5964
MAIL ADDRESS:
STREET 1: 1401 FOCH STREET, SUITE 140
CITY: FORT WORTH
STATE: TX
ZIP: 76107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BIOS Fund II, LP
CENTRAL INDEX KEY: 0001714576
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39318
FILM NUMBER: 221231737
BUSINESS ADDRESS:
STREET 1: 1401 FOCH STREET
STREET 2: SUITE 140
CITY: FORT WORTH
STATE: TX
ZIP: 76107
BUSINESS PHONE: 817-984-5964
MAIL ADDRESS:
STREET 1: 1401 FOCH STREET
STREET 2: SUITE 140
CITY: FORT WORTH
STATE: TX
ZIP: 76107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BIOS Fund II QP, LP
CENTRAL INDEX KEY: 0001716869
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39318
FILM NUMBER: 221231736
BUSINESS ADDRESS:
STREET 1: 1401 FOCH STREET
STREET 2: SUITE 140
CITY: FORT WORTH
STATE: TX
ZIP: 76107
BUSINESS PHONE: 817-984-5964
MAIL ADDRESS:
STREET 1: 1401 FOCH STREET
STREET 2: SUITE 140
CITY: FORT WORTH
STATE: TX
ZIP: 76107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BIOS Advisors GP, LLC
CENTRAL INDEX KEY: 0001813844
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39318
FILM NUMBER: 221231731
BUSINESS ADDRESS:
STREET 1: 1751 RIVER RUN
STREET 2: SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
BUSINESS PHONE: 817-984-9197
MAIL ADDRESS:
STREET 1: 1751 RIVER RUN
STREET 2: SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BIOS Capital Management, LP
CENTRAL INDEX KEY: 0001813845
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39318
FILM NUMBER: 221231732
BUSINESS ADDRESS:
STREET 1: 1751 RIVER RUN
STREET 2: SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
BUSINESS PHONE: 817-984-9197
MAIL ADDRESS:
STREET 1: 1751 RIVER RUN
STREET 2: SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Fletcher Aaron G.L.
CENTRAL INDEX KEY: 0001789490
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39318
FILM NUMBER: 221231740
MAIL ADDRESS:
STREET 1: 40 GUEST STREET
CITY: BOSTON
STATE: MA
ZIP: 02135
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Bios Equity Partners II, LP
CENTRAL INDEX KEY: 0001813313
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39318
FILM NUMBER: 221231733
BUSINESS ADDRESS:
STREET 1: 1751 RIVER RUN, SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
BUSINESS PHONE: 817-381-5370
MAIL ADDRESS:
STREET 1: 1751 RIVER RUN, SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Bios Equity Partners, LP
CENTRAL INDEX KEY: 0001813314
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39318
FILM NUMBER: 221231734
BUSINESS ADDRESS:
STREET 1: 1751 RIVER RUN, SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
BUSINESS PHONE: 817-381-5370
MAIL ADDRESS:
STREET 1: 1751 RIVER RUN, SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BIOS Fund II NT, LP
CENTRAL INDEX KEY: 0001728851
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39318
FILM NUMBER: 221231735
BUSINESS ADDRESS:
STREET 1: 1401 FOCH STREET, SUITE 140
CITY: FORT WORTH
STATE: TX
ZIP: 76107
BUSINESS PHONE: 817-984-5964
MAIL ADDRESS:
STREET 1: 1401 FOCH STREET, SUITE 140
CITY: FORT WORTH
STATE: TX
ZIP: 76107
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Lantern Pharma Inc.
CENTRAL INDEX KEY: 0001763950
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 463973463
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1920 MCKINNEY AVENUE
STREET 2: 7TH FLOOR
CITY: DALLAS
STATE: TX
ZIP: 75201
BUSINESS PHONE: 972-277-1136
MAIL ADDRESS:
STREET 1: 1920 MCKINNEY AVENUE
STREET 2: 7TH FLOOR
CITY: DALLAS
STATE: TX
ZIP: 75201
FORMER COMPANY:
FORMER CONFORMED NAME: Lantern Pharma
DATE OF NAME CHANGE: 20190108
4
1
tm2225390-2_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2022-09-02
0
0001763950
Lantern Pharma Inc.
LTRN
0001789490
Fletcher Aaron G.L.
C/O LANTERN PHARMA INC.
1920 MCKINNEY AVENUE, 7TH FLOOR
DALLAS
TX
75201
0
0
1
0
0001697316
BIOS Fund I, LP
1401 FOCH STREET
SUITE 140
FORT WORTH
TX
76107
0
0
1
0
0001700297
BIOS Fund I QP, LP
1401 FOCH STREET, SUITE 140
FORT WORTH
TX
76107
0
0
1
0
0001714576
BIOS Fund II, LP
1401 FOCH STREET
SUITE 140
FORT WORTH
TX
76107
0
0
1
0
0001716869
BIOS Fund II QP, LP
1401 FOCH STREET
SUITE 140
FORT WORTH
TX
76107
0
0
1
0
0001728851
BIOS Fund II NT, LP
1401 FOCH STREET, SUITE 140
FORT WORTH
TX
76107
0
0
1
0
0001813314
Bios Equity Partners, LP
1751 RIVER RUN, SUITE 400
FORT WORTH
TX
76107
0
0
1
0
0001813313
Bios Equity Partners II, LP
1751 RIVER RUN, SUITE 400
FORT WORTH
TX
76107
0
0
1
0
0001813845
BIOS Capital Management, LP
1751 RIVER RUN
SUITE 400
FORT WORTH
TX
76107
0
0
1
0
0001813844
BIOS Advisors GP, LLC
1751 RIVER RUN
SUITE 400
FORT WORTH
TX
76107
0
0
1
0
Common Stock
2022-09-02
4
X
0
26100
1.03
A
26100
I
By BP Directors, LP
Common Stock
2022-09-02
4
S
0
5170
5.20
D
20930
I
By BP Directors, LP
Common Stock
2022-09-02
4
X
0
6438
1.03
A
27328
I
By BP Directors, LP
Common Stock
2022-09-02
4
S
0
1275
5.20
D
26093
I
By BP Directors, LP
Common Stock
564038
I
By Bios Fund I, LP
Common Stock
329904
I
By Bios Fund I QP, LP
Common Stock
204723
I
By Bios Fund II, LP
Common Stock
668738
I
By Bios Fund II QP, LP
Common Stock
89522
I
By Bios Fund II NT, LP
Stock Option
1.03
2022-09-02
4
X
0
26100
0
A
2018-12-17
2028-12-16
Common Stock
26100
6438
I
By BP Directors, LP
Stock Option
1.03
2022-09-02
4
X
0
6438
0
A
2018-12-17
2028-12-16
Common Stock
6438
0
I
By BP Directors, LP
On September 2, 2022, the reporting person exercised an option to purchase 26,100 shares of LTRN common stock for $1.03 a share. The reporting person paid the exercise price on a cashless basis, resulting in LTRN's withholding of 5,170 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 20,930 shares.
On September 2, 2022, the reporting person exercised an option to purchase 6,438 shares of LTRN common stock for $1.03 a share. The reporting person paid the exercise price on a cashless basis, resulting in LTRN's withholding of 1,275 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 5,163 shares.
Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, Bios Fund I QP and BP Directors, LP ("Bios Directors"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, Bios Fund II QP and Bios Fund II NT. Cavu Management, LP ("Cavu Management"), an entity managed and controlled by Mr. Kreis, and Bios Capital Management, LP ("Bios Management"), an entity managed and controlled by Aaron Glenn Louis Fletcher, are each a general partner of Bios Equity I and Bios Equity II. Cavu Advisors LLC ("Cavu Advisors"), an entity that is managed and controlled by Mr. Kreis, is the general partner of Cavu Management. Bios Advisors GP, LLC ("Bios Advisors"), an entity that is managed and controlled by Mr. Fletcher, is the general partner of Bios Management.
Mr. Kreis, Cavu Management, Cavu Advisors, Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund I, Bios Fund I QP, Bios Directors, Bios Fund II, Bios Fund II QP and Bios Fund II NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Kreis, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors and the Bios Equity Entities, Mr. Kreis, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities.
For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
This Form 4 is the second of two Forms 4 filed relating to the same event. The Form 4 has been split into two filings because there are more than 10 reporting persons in total, and the SEC's EDGAR filing system limits a single Form 4 to a maximum of 10 reporting person. The first Form 4 was filed by Leslie W. Kreis, Jr. as the designated filer.
/s/ Aaron G.L. Fletcher
2022-09-07
Bios Fund I, LP By: Bios Equity Partners, LP, its general partner By: Bios Capital Management, LP, its general partner By: Bios Advisors GP, LLC, its general partner By: /s/ Aaron Glenn Louis Fletcher, Manager
2022-09-07
Bios Fund I QP, LP By: Bios Equity Partners, LP, its general partner By: Bios Capital Management, LP, its general partner By: Bios Advisors GP, LLC, its general partner By: /s/ Aaron Glenn Louis Fletcher, Manager
2022-09-07
Bios Fund II, LP By: Bios Equity Partners II, LP, its general partner By: Bios Capital Management, LP, its general partner By: Bios Advisors GP, LLC, its general partner By: /s/ Aaron Glenn Louis Fletcher, Manager
2022-09-07
Bios Fund II QP, LP By: Bios Equity Partners II, LP, its general partner By: Bios Capital Management, LP, its general partner By: Bios Advisors GP, LLC, its general partner By: /s/ Aaron Glenn Louis Fletcher, Manager
2022-09-07
Bios Fund II NT, LP By: Bios Equity Partners II, LP, its general partner By: Bios Capital Management, LP, its general partner By: Bios Advisors GP, LLC, its general partner By: /s/ Aaron Glenn Louis Fletcher, Manager
2022-09-07
Bios Equity Partners, LP By: Bios Capital Management, LP, its general partner By: Bios Advisors GP, LLC, its general partner By: /s/ Aaron Glenn Louis Fletcher, Manager
2022-09-07
Bios Equity Partners II, LP By: Bios Capital Management, LP, its general partner By: Bios Advisors GP, LLC, its general partner By: /s/ Aaron Glenn Louis Fletcher, Manager
2022-09-07
Bios Capital Management, LP By: Bios Advisors GP, LLC, its general partner By: /s/ Aaron Glenn Louis Fletcher, Manager
2022-09-07
Bios Advisors GP, LLC By: /s/ Aaron Glenn Louis Fletcher, Manager
2022-09-07