4//SEC Filing
McKew John C. 4
Accession 0001126234-23-000051
CIK 0001126234other
Filed
Apr 3, 8:00 PM ET
Accepted
Apr 4, 5:22 PM ET
Size
9.7 KB
Accession
0001126234-23-000051
Insider Transaction Report
Form 4
LUMOS PHARMA, INC.(LUMO)
McKew John C.
Chief Scientific Officer
Transactions
- Tax Payment
Common Stock
2023-04-01$3.31/sh−1,036$3,429→ 25,421 total - Sale
Common Stock
2023-04-04$3.27/sh−2,214$7,240→ 23,207 total
Footnotes (8)
- [F1]Represents shares of Common Stock withheld by the Issuer in satisfaction of its tax withholding obligation with respect to the vesting of 3,250 previously reported restricted stock units ("RSUs") granted to the Reporting Person.
- [F2]Includes 539 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 3,250 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 on April 1, 2024, provided 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 15,000 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 1,125 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 2,000 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 four 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.
- [F7]The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 12, 2021, as amended December 6, 2021 and June 3, 2022.
- [F8]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.20 to $3.33, 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 sold at each price within the ranges set forth in this footnote to this Form 4.
Documents
Issuer
LUMOS PHARMA, INC.
CIK 0001126234
Entity typeother
Related Parties
1- filerCIK 0001640560
Filing Metadata
- Form type
- 4
- Filed
- Apr 3, 8:00 PM ET
- Accepted
- Apr 4, 5:22 PM ET
- Size
- 9.7 KB