4//SEC Filing
Lawley Lori D 4
Accession 0001126234-23-000015
CIK 0001126234other
Filed
Feb 2, 7:00 PM ET
Accepted
Feb 3, 5:03 PM ET
Size
12.3 KB
Accession
0001126234-23-000015
Insider Transaction Report
Form 4
LUMOS PHARMA, INC.(LUMO)
Lawley Lori D
Principal Accounting Officer
Transactions
- Award
Common Stock
2023-02-01$3.52/sh+1,000$3,520→ 11,619 total - Tax Payment
Common Stock
2023-02-01$3.52/sh−114$401→ 11,505 total - Award
Stock Option (Right to Buy)
2023-02-01+12,000→ 12,000 totalExercise: $3.52→ Common Stock (12,000 underlying)
Footnotes (10)
- [F1]Represents shares issued as restricted stock units ("RSUs") under the Issuer's 2009 Equity Incentive Plan, as amended, (the "Plan") that were received as an award, for no consideration. The RSUs vest in a series of four successive annual installments beginning on February 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.
- [F10]Unless otherwise disclosed, the option expires ten years after the date of grant.
- [F2]Includes 435 RSUs previously reported as holdings of the Reporting Person granted under 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 February 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.
- [F3]Includes 2,250 RSUs previously reported as holdings of the Reporting Person granted under 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 1, 2023, 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.
- [F4]Includes 2,813 RSUs previously reported as holdings of the Reporting Person 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 August 1, 2023, 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.
- [F5]Includes 750 RSUs previously reported as holdings of the Reporting Person 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 February 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.
- [F6]Includes 500 shares acquired under the Lumos Pharma, Inc. 2010 Employee Stock Purchase Plan on December 31, 2022.
- [F7]Represents shares of Common Stock withheld by the Issuer in satisfaction of its tax withholding obligation with respect to the vesting of 467 previously reported RSUs granted to the Reporting Person.
- [F8]Grant to the Reporting Person of a stock option under the Plan. 50% of the option vests and becomes exercisable in a series of 48 successive equal monthly installments beginning on March 1, 2023, 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.
- [F9]The remaining 50% of the stock options vest and become exercisable in 3 substantially equal tranches on the first of the month following an increase of closing stock price, as defined as the closing stock price on Nasdaq Stock Market by at least 50%, 100% and 150%, respectively, above the closing stock on December 31, 2022, when measured over 30 consecutive calendar days, provided such increase occurs within two years of the Date of Grant, otherwise such options shall be cancelled.
Documents
Issuer
LUMOS PHARMA, INC.
CIK 0001126234
Entity typeother
Related Parties
1- filerCIK 0001747716
Filing Metadata
- Form type
- 4
- Filed
- Feb 2, 7:00 PM ET
- Accepted
- Feb 3, 5:03 PM ET
- Size
- 12.3 KB