Richard J. Hawkins - Sep 21, 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
Sep 21, 2022
Transactions value $
$21,402
Form type
4
Date filed
9/23/2022, 05:05 PM
Previous filing
Sep 21, 2022
Next filing
Dec 8, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction LUMO Common Stock Purchase $19.6K +2.21K +108.16% $8.84 4.26K Sep 21, 2022 By Charitable Trust F1
transaction LUMO Common Stock Purchase $1.83K +208 +4.88% $8.80 4.47K Sep 23, 2022 By Charitable Trust F2
holding LUMO Common Stock 748K Sep 21, 2022 Direct F3, F4, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.50 to $8.90, 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 purchased at each price within the ranges set forth in this footnote to this Form 4.
F2 The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.76 to $8.80, 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 purchased at each price within the ranges set forth in this footnote to this Form 4.
F3 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.
F4 Includes 12,500 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.
F5 Includes 4,500 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 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.