Pisit Duke Pitukcheewanont - Jan 4, 2024 Form 3 Insider Report for LUMOS PHARMA, INC. ((LUMO))

Role
Chief Medical Officer
Signature
/s/ Ryan Trytten, attorney-in-fact
Stock symbol
(LUMO)
Transactions as of
Jan 4, 2024
Transactions value $
$0
Form type
3
Date filed
1/10/2024, 07:03 PM
Next filing
Apr 3, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding (LUMO) Common Stock 10.9K Jan 4, 2024 Direct F1, F2

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
holding (LUMO) Stock Option (Right to Buy) Jan 4, 2024 Common Stock 29.8K $7.69 Direct F3
holding (LUMO) Stock Option (Right to Buy) Jan 4, 2024 Common Stock 3.33K $3.52 Direct F3
holding (LUMO) Stock Option (Right to Buy) Jan 4, 2024 Common Stock 25.5K $3.30 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 3,938 Restricted Stock Units ("RSUs") granted under the Issuers 2009 Equity Incentive Plan (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 June 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.
F2 Includes 4,500 RSUs 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 July 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 The shares subject to the option vests over a four-year period, with 25% of such option vesting on the one-year anniversary of the vesting commencement date and the remaining 75% of such option vesting in equal monthly installments over the next 36 months, 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.