Key facts
- This page summarizes An van Es-Johansson's Form 4 filing for LUMOS PHARMA, INC..
- 6 reported transactions and 5 derivative rows are listed below.
- Accepted by SEC: 13 Dec 2024, 21:31.
An van Es-Johansson - 12 Dec 2024 Form 4 Insider Report for LUMOS PHARMA, INC.
- Reporting relationship
- Director
- Issuer ticker
- N/A
- Reported as of
- 12 Dec 2024
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 13 Dec 2024, 21:31:52 UTC
- Prior SEC filing
- 12 Sep 2024
- Next SEC filing
- 20 Feb 2025
- Source filing
- View source filing
- Reporting owner signature
- /s/ Ryan Trytten, attorney-in-fact
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
An van Es-Johansson filed Form 4 for LUMOS PHARMA, INC. on 13 Dec 2024.
Change
- Previous filing in this sequence was filed on 12 Sep 2024.
- Current net transaction value: $0.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
(LUMO)
transaction
Common Stock
Disposed to Issuer
- Transaction value
- Shares
- -1,100
- Change %
- -100%
- Price
- Shares after
- 0
- Date
- 12 Dec 2024
- Ownership
- Direct
- Footnotes
- F1
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
(LUMO)
transaction
Derivative
Stock Option (Right to Buy)
Disposed to Issuer
- Transaction value
- Shares
- -3,345
- Change %
- -100%
- Price
- Shares after
- 0
- Date
- 12 Dec 2024
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 3,345
- Exercise price
- $3.42
- Footnotes
- F2
(LUMO)
transaction
Derivative
Stock Option (Right to Buy)
Disposed to Issuer
- Transaction value
- Shares
- -3,328
- Change %
- -100%
- Price
- Shares after
- 0
- Date
- 12 Dec 2024
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 3,328
- Exercise price
- $2.35
- Footnotes
- F2
(LUMO)
transaction
Derivative
Stock Option (Right to Buy)
Disposed to Issuer
- Transaction value
- Shares
- -3,431
- Change %
- -100%
- Price
- Shares after
- 0
- Date
- 12 Dec 2024
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 3,431
- Exercise price
- $8.18
- Footnotes
- F3
(LUMO)
transaction
Derivative
Stock Option (Right to Buy)
Disposed to Issuer
- Transaction value
- Shares
- -2,910
- Change %
- -100%
- Price
- Shares after
- 0
- Date
- 12 Dec 2024
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 2,910
- Exercise price
- $10.36
- Footnotes
- F3
(LUMO)
transaction
Derivative
Stock Option (Right to Buy)
Disposed to Issuer
- Transaction value
- Shares
- -5,729
- Change %
- -100%
- Price
- Shares after
- 0
- Date
- 12 Dec 2024
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 5,729
- Exercise price
- $17.86
- Footnotes
- F3
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Section 16 status
An van Es-Johansson is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.
Explanation of responses 3 footnotes
Footnote 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.
Footnote 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.
Footnote 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.