Kevin M. Lalande - Dec 12, 2024 Form 4 Insider Report for LUMOS PHARMA, INC. ((LUMO))

Role
Director
Signature
/s/ Ryan Trytten, attorney-in-fact
Stock symbol
(LUMO)
Transactions as of
Dec 12, 2024
Transactions value $
$0
Form type
4
Date filed
12/13/2024, 09:31 PM
Previous filing
Sep 30, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction (LUMO) Common Stock Disposed to Issuer -1.08K -100% 0 Dec 12, 2024 Direct F1
transaction (LUMO) Common Stock Disposed to Issuer -730K -100% 0 Dec 12, 2024 By Sante Health Ventures II, LP 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
transaction (LUMO) Stock Option (Right to Buy) Disposed to Issuer -3.35K -100% 0 Dec 12, 2024 Common Stock 3.35K $3.42 Direct F3
transaction (LUMO) Stock Option (Right to Buy) Disposed to Issuer -3.33K -100% 0 Dec 12, 2024 Common Stock 3.33K $2.35 Direct F3
transaction (LUMO) Stock Option (Right to Buy) Disposed to Issuer -5.68K -100% 0 Dec 12, 2024 Common Stock 5.68K $7.78 Direct F4
transaction (LUMO) Stock Option (Right to Buy) Disposed to Issuer -3.43K -100% 0 Dec 12, 2024 Common Stock 3.43K $8.18 Direct F4
transaction (LUMO) Stock Option (Right to Buy) Disposed to Issuer -2.91K -100% 0 Dec 12, 2024 Common Stock 2.91K $10.36 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Kevin M. Lalande is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
F1 Disposed of pursuant to that certain Agreement and Plan of Merger, dated October 22, 2024, by and between the Issuer, DPV Parent, Inc., DPV MergerSub, Inc. and Double Point Ventures LLC ("DPV") (the "Merger Agreement") in exchange for (i) $4.25 in cash per share (the "Cash Amount"), plus (ii) one non-transferable contingent value right ("CVR") per share.
F2 The reporting person is a managing director of SHV Management Services, LLC ("SHV Management"). SHV Management is the general partner of SHV Management Services, LP, which is the general partner of the partnership that directly owns the reported securities. The reporting person disclaims beneficial ownership of the securities reported except to the extent of his pecuniary interest, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all the reported securities for purposes of Section 16 or for any other purpose.
F3 This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option.
F4 Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.