Thomas A. Raffin - 12 Dec 2024 Form 4 Insider Report for LUMOS PHARMA, INC.

Role
Director
Signature
/s/ Ryan Trytten, attorney-in-fact
Issuer symbol
N/A
Transactions as of
12 Dec 2024
Net transactions value
$0
Form type
4
Filing time
13 Dec 2024, 21:31:43 UTC
Previous filing
07 Jun 2024
Next filing
10 Jul 2025
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction (LUMO) Common Stock Disposed to Issuer -9,406 -100% 0 12 Dec 2024 Direct F1

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 -3,345 -100% 0 12 Dec 2024 Common Stock 3,345 $3.42 Direct F2
transaction (LUMO) Stock Option (Right to Buy) Disposed to Issuer -3,328 -100% 0 12 Dec 2024 Common Stock 3,328 $2.35 Direct F2
transaction (LUMO) Stock Option (Right to Buy) Disposed to Issuer -5,684 -100% 0 12 Dec 2024 Common Stock 5,684 $7.78 Direct F3
transaction (LUMO) Stock Option (Right to Buy) Disposed to Issuer -3,431 -100% 0 12 Dec 2024 Common Stock 3,431 $8.18 Direct F3
transaction (LUMO) Stock Option (Right to Buy) Disposed to Issuer -2,910 -100% 0 12 Dec 2024 Common Stock 2,910 $10.36 Direct F3
transaction (LUMO) Stock Option (Right to Buy) Disposed to Issuer -2,777 -100% 0 12 Dec 2024 Common Stock 2,777 $15.21 Direct F3
transaction (LUMO) Stock Option (Right to Buy) Disposed to Issuer -10,439 -100% 0 12 Dec 2024 Common Stock 10,439 $15.93 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Thomas A. Raffin 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 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.
F3 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.