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Filing Details

Accession Number:: 0001126234-21-000133
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-09-01 18:46:32
Reporting Period:: 2021-08-30

Accepted Time:: 2021-09-01 18:46:32
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1126234	Lumos Pharma Inc.	(LUMO)	Pharmaceutical Preparations (2834)	421491350

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1587800	M. Kevin Lalande	4200 Marathon Blvd Suite 200 Austin TX 78756		Yes	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2021-08-30	8,625	$10.52	685,457	No	4	P	Indirect	By Sante Health Ventures II, LP
Common Stock	Acquisiton	2021-08-31	6,000	$10.70	691,457	No	4	P	Indirect	By Sante Health Ventures II, LP
Common Stock	Acquisiton	2021-09-01	4,589	$10.87	696,046	No	4	P	Indirect	By Sante Health Ventures II, LP

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	By Sante Health Ventures II, LP
No	4	P	Indirect	By Sante Health Ventures II, LP
No	4	P	Indirect	By Sante Health Ventures II, LP

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	1,076	Direct

Footnotes

The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.35 to $10.78, 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 $10.60 to $10.83, 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 $10.80 to $10.97, 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.
Includes 367 RSUs previously reported as holdings of the Reporting Person granted under the Plan. One hundred percent (100%) of the RSUs will 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.