Richard J. Hawkins - Feb 1, 2022 Form 4 Insider Report for LUMOS PHARMA, INC. (LUMO)

Role: Chief Executive Officer, Director
Signature: /s/ Ryan Trytten, attorney-in-fact
Stock symbol: LUMO
Transactions as of: Feb 1, 2022
Transactions value $: $43,357
Form type: 4
Date filed: 2/3/2022, 03:34 PM
Previous filing: Dec 14, 2021
Next filing: Apr 5, 2022

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	LUMO	Common Stock	Award	$45.1K	+4.5K	+0.6%	$10.02	750K	Feb 1, 2022	Direct	F1, F2, F3
transaction	LUMO	Common Stock	Tax liability	-$1.73K	-173	-0.02%	$10.02	750K	Feb 1, 2022	Direct	F2, F3, F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	LUMO	Stock Option (Right to Buy)	Award	$0	+35.4K		$0.00	35.4K	Feb 1, 2022	Common Stock	35.4K	$10.02	Direct	F5

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
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, 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.
F2	Includes 1,747 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, 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.
F3	Includes 18,750 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 April 1, 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.
F4	Represents shares of Common Stock withheld by the Issuer in satisfaction of its tax withholding obligation with respect to the vesting of 582 previously reported restricted stock units ("RSUs") granted to the Reporting Person.
F5	Grant to the Reporting Person of a stock option under the Plan. The option vests and becomes exercisable in a series of 48 successive equal monthly installments beginning on March 1, 2022, 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.