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Filing Details

Accession Number:: 0001104659-24-005242
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2024-01-19 16:31:33
Reporting Period:: 2024-01-17

Accepted Time:: 2024-01-19 16:31:33
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1763950	Lantern Pharma Inc.	LTRN	()	TX

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1697316	Bios Fund I, Lp	C/O Lantern Pharma Inc. 1920 Mckinney Avenue, 7Th Floor Dallas TX 75201	No	No	Yes	No
1700297	Bios Fund I Qp, Lp	C/O Lantern Pharma Inc. 1920 Mckinney Avenue, 7Th Floor Dallas TX 75201	No	No	Yes	No
1714576	Bios Fund Ii, Lp	C/O Lantern Pharma Inc. 1920 Mckinney Avenue, 7Th Floor Dallas TX 75201	No	No	Yes	No
1716869	Bios Fund Ii Qp, Lp	C/O Lantern Pharma Inc. 1920 Mckinney Avenue, 7Th Floor Dallas TX 75201	No	No	Yes	No
1728851	Bios Fund Ii Nt, Lp	C/O Lantern Pharma Inc. 1920 Mckinney Avenue, 7Th Floor Dallas TX 75201	No	No	Yes	No
1789490	G.l. Aaron Fletcher	C/O Lantern Pharma Inc. 1920 Mckinney Avenue, 7Th Floor Dallas TX 75201	No	No	Yes	No
1813313	Bios Equity Partners Ii, Lp	C/O Lantern Pharma Inc. 1920 Mckinney Avenue, 7Th Floor Dallas TX 75201	No	No	Yes	No
1813314	Bios Equity Partners, Lp	C/O Lantern Pharma Inc. 1920 Mckinney Avenue, 7Th Floor Dallas TX 75201	No	No	Yes	No
1813844	Bios Advisors Gp, Llc	C/O Lantern Pharma Inc. 1920 Mckinney Avenue, 7Th Floor Dallas TX 75201	No	No	Yes	No
1813845	Bios Capital Management, Lp	C/O Lantern Pharma Inc. 1920 Mckinney Avenue, 7Th Floor Dallas TX 75201	No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2024-01-17	7,347	$3.13	79,121	No	4	X	Indirect	By Bios Fund II NT, LP
Common Stock	Disposition	2024-01-17	5,475	$4.20	73,646	No	4	S	Indirect	By Bios Fund II NT, LP
Common Stock	Acquisiton	2024-01-17	54,873	$3.13	591,036	No	4	X	Indirect	By Bios Fund II QP, LP
Common Stock	Disposition	2024-01-17	40,893	$4.20	550,143	No	4	S	Indirect	By Bios Fund II QP, LP
Common Stock	Acquisiton	2024-01-17	16,801	$3.13	180,938	No	4	X	Indirect	By Bios Fund II, LP
Common Stock	Disposition	2024-01-17	12,521	$4.20	168,417	No	4	S	Indirect	By Bios Fund II, LP

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	X	Indirect	By Bios Fund II NT, LP
No	4	S	Indirect	By Bios Fund II NT, LP
No	4	X	Indirect	By Bios Fund II QP, LP
No	4	S	Indirect	By Bios Fund II QP, LP
No	4	X	Indirect	By Bios Fund II, LP
No	4	S	Indirect	By Bios Fund II, LP

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A Warrants	Disposition	2024-01-17	7,347	$0.00	7,347	$3.13
Common Stock	Series A Warrants	Disposition	2024-01-17	54,873	$0.00	54,873	$3.13
Common Stock	Series A Warrants	Disposition	2024-01-17	16,801	$0.00	16,801	$3.13

Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
2019-03-07	2024-03-07	No	4	X	Indirect
2019-03-07	2024-03-07	No	4	X	Indirect
2019-03-07	2024-03-07	No	4	X	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	217,553	Indirect	By Bios Fund I QP, LP
Common Stock	371,950	Indirect	By Bios Fund I, LP
Common Stock	26,093	Indirect	By BP Directors, LP

Footnotes

On January 17, 2024, each of Bios Fund II NT, LP ("Bios Fund II NT"), Bios Fund II QP, LP ("Bios Fund II QP") and Bios Fund II, LP ("Bios Fund II") exercised warrants to purchase 7,347, 54,873 and 16,801, respectively, shares of common stock of the Issuer. Each of Bios Fund II NT, Bios Fund II QP and Bios Fund II paid the exercise price on a cashless basis, resulting in the Issuer withholding 5,475, 40,893 and 12,521, respectively, of the warrant shares to pay the exercise price and issuing Bios Fund II NT, Bios Fund II QP and Bios Fund II the remaining 1,872, 13,980 and 4,280 shares respectively.
Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I"), Bios Fund I QP, LP ("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 Leslie W. Kreis, Jr 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.