Home/Filings/4/0001104659-24-005242

4//SEC Filing

BIOS Fund I, LP 4

Accession 0001104659-24-005242

CIK 0001763950other

View on SEC.gov Company Profile

Filed

Jan 18, 7:00 PM ET

Accepted

Jan 19, 4:31 PM ET

Size

43.1 KB

Accession

0001104659-24-005242

Insider Transaction Report

Form 4

Period: 2024-01-17

Lantern Pharma Inc.LTRN

BIOS Fund I, LP

10% Owner

Transactions

Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+54,873$171,752→ 591,036 total(indirect: By Bios Fund II QP, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−54,873→ 0 total(indirect: By Bios Fund II QP, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (54,873 underlying)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+7,347$22,996→ 79,121 total(indirect: By Bios Fund II NT, LP)
Sale
Common Stock
2024-01-17$4.20/sh−40,893$171,751→ 550,143 total(indirect: By Bios Fund II QP, LP)
Sale
Common Stock
2024-01-17$4.20/sh−5,475$22,995→ 73,646 total(indirect: By Bios Fund II NT, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−7,347→ 0 total(indirect: By Bios Fund II NT, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (7,347 underlying)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+16,801$52,587→ 180,938 total(indirect: By Bios Fund II, LP)
Sale
Common Stock
2024-01-17$4.20/sh−12,521$52,588→ 168,417 total(indirect: By Bios Fund II, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−16,801→ 0 total(indirect: By Bios Fund II, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (16,801 underlying)

Holdings

Common Stock
(indirect: By Bios Fund I QP, LP)
217,553
Common Stock
(indirect: By BP Directors, LP)
26,093
Common Stock
(indirect: By Bios Fund I, LP)
371,950

BIOS Fund II NT, LP

10% Owner

Transactions

Sale
Common Stock
2024-01-17$4.20/sh−5,475$22,995→ 73,646 total(indirect: By Bios Fund II NT, LP)
Sale
Common Stock
2024-01-17$4.20/sh−12,521$52,588→ 168,417 total(indirect: By Bios Fund II, LP)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+16,801$52,587→ 180,938 total(indirect: By Bios Fund II, LP)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+7,347$22,996→ 79,121 total(indirect: By Bios Fund II NT, LP)
Sale
Common Stock
2024-01-17$4.20/sh−40,893$171,751→ 550,143 total(indirect: By Bios Fund II QP, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−54,873→ 0 total(indirect: By Bios Fund II QP, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (54,873 underlying)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+54,873$171,752→ 591,036 total(indirect: By Bios Fund II QP, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−7,347→ 0 total(indirect: By Bios Fund II NT, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (7,347 underlying)
Exercise of In-Money
Series A Warrants
2024-01-17−16,801→ 0 total(indirect: By Bios Fund II, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (16,801 underlying)

Holdings

Common Stock
(indirect: By Bios Fund I, LP)
371,950
Common Stock
(indirect: By Bios Fund I QP, LP)
217,553
Common Stock
(indirect: By BP Directors, LP)
26,093

Fletcher Aaron G.L.

10% Owner

Transactions

Sale
Common Stock
2024-01-17$4.20/sh−40,893$171,751→ 550,143 total(indirect: By Bios Fund II QP, LP)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+16,801$52,587→ 180,938 total(indirect: By Bios Fund II, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−54,873→ 0 total(indirect: By Bios Fund II QP, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (54,873 underlying)
Sale
Common Stock
2024-01-17$4.20/sh−12,521$52,588→ 168,417 total(indirect: By Bios Fund II, LP)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+7,347$22,996→ 79,121 total(indirect: By Bios Fund II NT, LP)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+54,873$171,752→ 591,036 total(indirect: By Bios Fund II QP, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−16,801→ 0 total(indirect: By Bios Fund II, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (16,801 underlying)
Sale
Common Stock
2024-01-17$4.20/sh−5,475$22,995→ 73,646 total(indirect: By Bios Fund II NT, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−7,347→ 0 total(indirect: By Bios Fund II NT, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (7,347 underlying)

Holdings

Common Stock
(indirect: By Bios Fund I QP, LP)
217,553
Common Stock
(indirect: By Bios Fund I, LP)
371,950
Common Stock
(indirect: By BP Directors, LP)
26,093

BIOS Fund I QP, LP

10% Owner

Transactions

Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+7,347$22,996→ 79,121 total(indirect: By Bios Fund II NT, LP)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+54,873$171,752→ 591,036 total(indirect: By Bios Fund II QP, LP)
Sale
Common Stock
2024-01-17$4.20/sh−12,521$52,588→ 168,417 total(indirect: By Bios Fund II, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−7,347→ 0 total(indirect: By Bios Fund II NT, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (7,347 underlying)
Sale
Common Stock
2024-01-17$4.20/sh−5,475$22,995→ 73,646 total(indirect: By Bios Fund II NT, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−54,873→ 0 total(indirect: By Bios Fund II QP, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (54,873 underlying)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+16,801$52,587→ 180,938 total(indirect: By Bios Fund II, LP)
Sale
Common Stock
2024-01-17$4.20/sh−40,893$171,751→ 550,143 total(indirect: By Bios Fund II QP, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−16,801→ 0 total(indirect: By Bios Fund II, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (16,801 underlying)

Holdings

Common Stock
(indirect: By Bios Fund I QP, LP)
217,553
Common Stock
(indirect: By BP Directors, LP)
26,093
Common Stock
(indirect: By Bios Fund I, LP)
371,950

BIOS Fund II, LP

10% Owner

Transactions

Sale
Common Stock
2024-01-17$4.20/sh−12,521$52,588→ 168,417 total(indirect: By Bios Fund II, LP)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+54,873$171,752→ 591,036 total(indirect: By Bios Fund II QP, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−16,801→ 0 total(indirect: By Bios Fund II, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (16,801 underlying)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+7,347$22,996→ 79,121 total(indirect: By Bios Fund II NT, LP)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+16,801$52,587→ 180,938 total(indirect: By Bios Fund II, LP)
Sale
Common Stock
2024-01-17$4.20/sh−5,475$22,995→ 73,646 total(indirect: By Bios Fund II NT, LP)
Sale
Common Stock
2024-01-17$4.20/sh−40,893$171,751→ 550,143 total(indirect: By Bios Fund II QP, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−54,873→ 0 total(indirect: By Bios Fund II QP, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (54,873 underlying)
Exercise of In-Money
Series A Warrants
2024-01-17−7,347→ 0 total(indirect: By Bios Fund II NT, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (7,347 underlying)

Holdings

Common Stock
(indirect: By Bios Fund I QP, LP)
217,553
Common Stock
(indirect: By Bios Fund I, LP)
371,950
Common Stock
(indirect: By BP Directors, LP)
26,093

BIOS Fund II QP, LP

10% Owner

Transactions

Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+16,801$52,587→ 180,938 total(indirect: By Bios Fund II, LP)
Sale
Common Stock
2024-01-17$4.20/sh−5,475$22,995→ 73,646 total(indirect: By Bios Fund II NT, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−16,801→ 0 total(indirect: By Bios Fund II, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (16,801 underlying)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+54,873$171,752→ 591,036 total(indirect: By Bios Fund II QP, LP)
Sale
Common Stock
2024-01-17$4.20/sh−40,893$171,751→ 550,143 total(indirect: By Bios Fund II QP, LP)
Sale
Common Stock
2024-01-17$4.20/sh−12,521$52,588→ 168,417 total(indirect: By Bios Fund II, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−7,347→ 0 total(indirect: By Bios Fund II NT, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (7,347 underlying)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+7,347$22,996→ 79,121 total(indirect: By Bios Fund II NT, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−54,873→ 0 total(indirect: By Bios Fund II QP, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (54,873 underlying)

Holdings

Common Stock
(indirect: By Bios Fund I, LP)
371,950
Common Stock
(indirect: By BP Directors, LP)
26,093
Common Stock
(indirect: By Bios Fund I QP, LP)
217,553

Bios Equity Partners, LP

10% Owner

Transactions

Sale
Common Stock
2024-01-17$4.20/sh−5,475$22,995→ 73,646 total(indirect: By Bios Fund II NT, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−54,873→ 0 total(indirect: By Bios Fund II QP, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (54,873 underlying)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+7,347$22,996→ 79,121 total(indirect: By Bios Fund II NT, LP)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+54,873$171,752→ 591,036 total(indirect: By Bios Fund II QP, LP)
Sale
Common Stock
2024-01-17$4.20/sh−40,893$171,751→ 550,143 total(indirect: By Bios Fund II QP, LP)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+16,801$52,587→ 180,938 total(indirect: By Bios Fund II, LP)
Sale
Common Stock
2024-01-17$4.20/sh−12,521$52,588→ 168,417 total(indirect: By Bios Fund II, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−7,347→ 0 total(indirect: By Bios Fund II NT, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (7,347 underlying)
Exercise of In-Money
Series A Warrants
2024-01-17−16,801→ 0 total(indirect: By Bios Fund II, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (16,801 underlying)

Holdings

Common Stock
(indirect: By Bios Fund I, LP)
371,950
Common Stock
(indirect: By Bios Fund I QP, LP)
217,553
Common Stock
(indirect: By BP Directors, LP)
26,093

BIOS Capital Management, LP

10% Owner

Transactions

Exercise of In-Money
Series A Warrants
2024-01-17−16,801→ 0 total(indirect: By Bios Fund II, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (16,801 underlying)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+7,347$22,996→ 79,121 total(indirect: By Bios Fund II NT, LP)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+54,873$171,752→ 591,036 total(indirect: By Bios Fund II QP, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−7,347→ 0 total(indirect: By Bios Fund II NT, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (7,347 underlying)
Sale
Common Stock
2024-01-17$4.20/sh−12,521$52,588→ 168,417 total(indirect: By Bios Fund II, LP)
Sale
Common Stock
2024-01-17$4.20/sh−5,475$22,995→ 73,646 total(indirect: By Bios Fund II NT, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−54,873→ 0 total(indirect: By Bios Fund II QP, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (54,873 underlying)
Sale
Common Stock
2024-01-17$4.20/sh−40,893$171,751→ 550,143 total(indirect: By Bios Fund II QP, LP)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+16,801$52,587→ 180,938 total(indirect: By Bios Fund II, LP)

Holdings

Common Stock
(indirect: By Bios Fund I QP, LP)
217,553
Common Stock
(indirect: By Bios Fund I, LP)
371,950
Common Stock
(indirect: By BP Directors, LP)
26,093

BIOS Advisors GP, LLC

10% Owner

Transactions

Sale
Common Stock
2024-01-17$4.20/sh−5,475$22,995→ 73,646 total(indirect: By Bios Fund II NT, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−7,347→ 0 total(indirect: By Bios Fund II NT, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (7,347 underlying)
Exercise of In-Money
Series A Warrants
2024-01-17−54,873→ 0 total(indirect: By Bios Fund II QP, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (54,873 underlying)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+16,801$52,587→ 180,938 total(indirect: By Bios Fund II, LP)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+7,347$22,996→ 79,121 total(indirect: By Bios Fund II NT, LP)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+54,873$171,752→ 591,036 total(indirect: By Bios Fund II QP, LP)
Sale
Common Stock
2024-01-17$4.20/sh−40,893$171,751→ 550,143 total(indirect: By Bios Fund II QP, LP)
Sale
Common Stock
2024-01-17$4.20/sh−12,521$52,588→ 168,417 total(indirect: By Bios Fund II, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−16,801→ 0 total(indirect: By Bios Fund II, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (16,801 underlying)

Holdings

Common Stock
(indirect: By Bios Fund I, LP)
371,950
Common Stock
(indirect: By Bios Fund I QP, LP)
217,553
Common Stock
(indirect: By BP Directors, LP)
26,093

Bios Equity Partners II, LP

10% Owner

Transactions

Sale
Common Stock
2024-01-17$4.20/sh−40,893$171,751→ 550,143 total(indirect: By Bios Fund II QP, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−54,873→ 0 total(indirect: By Bios Fund II QP, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (54,873 underlying)
Sale
Common Stock
2024-01-17$4.20/sh−12,521$52,588→ 168,417 total(indirect: By Bios Fund II, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−16,801→ 0 total(indirect: By Bios Fund II, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (16,801 underlying)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+54,873$171,752→ 591,036 total(indirect: By Bios Fund II QP, LP)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+16,801$52,587→ 180,938 total(indirect: By Bios Fund II, LP)
Exercise of In-Money
Common Stock
2024-01-17$3.13/sh+7,347$22,996→ 79,121 total(indirect: By Bios Fund II NT, LP)
Exercise of In-Money
Series A Warrants
2024-01-17−7,347→ 0 total(indirect: By Bios Fund II NT, LP)
Exercise: $3.13From: 2019-03-07Exp: 2024-03-07→ Common Stock (7,347 underlying)
Sale
Common Stock
2024-01-17$4.20/sh−5,475$22,995→ 73,646 total(indirect: By Bios Fund II NT, LP)

Holdings

Common Stock
(indirect: By Bios Fund I QP, LP)
217,553
Common Stock
(indirect: By BP Directors, LP)
26,093
Common Stock
(indirect: By Bios Fund I, LP)
371,950

Footnotes (4)

[F1]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.
[F2]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.
[F3]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.
[F4]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.

Documents

1 file

4
tm243706-2_4seq1.xmlPrimary
OWNERSHIP DOCUMENT

Issuer

Lantern Pharma Inc.

CIK 0001763950

→

Entity typeother

IncorporatedTX

Related Parties

filerCIK 0001697316

Filing Metadata

Form type: 4
Filed: Jan 18, 7:00 PM ET
Accepted: Jan 19, 4:31 PM ET
Size: 43.1 KB

View on SEC.gov