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Filing Details

Accession Number:: 0001193805-21-000029
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-01-08 17:54:08
Reporting Period:: 2021-01-06

Accepted Time:: 2021-01-08 17:54:08
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1126234	Lumos Pharma Inc.	LUMO	()	DE

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1009258	Deerfield Management Company, L.p. (Series C)	345 Park Avenue South, 12Th Floor New York NY 10010	No	No	Yes	Yes
1352546	E James Flynn	345 Park Avenue South, 12Th Floor New York NY 10010	No	No	Yes	Yes
1603333	Deerfield Private Design Fund Iii, L.p.	345 Park Avenue South, 12Th Floor New York NY 10010	No	No	Yes	Yes
1610540	Deerfield Mgmt Iii, L.p.	345 Park Avenue South, 12Th Floor New York NY 10010	No	No	Yes	Yes

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2021-01-06	28,108	$22.47	908,183	No	4	S	Indirect	Through Deerfield Private Design Fund III, L.P.
Common Stock	Disposition	2021-01-06	931	$22.64	907,252	No	4	S	Indirect	Through Deerfield Private Design Fund III, L.P.
Common Stock	Disposition	2021-01-07	11,794	$24.35	895,458	No	4	S	Indirect	Through Deerfield Private Design Fund III, L.P.
Common Stock	Disposition	2021-01-07	4,378	$25.05	891,080	No	4	S	Indirect	Through Deerfield Private Design Fund III, L.P.
Common Stock	Disposition	2021-01-08	1,000	$24.11	890,080	No	4	S	Indirect	Through Deerfield Private Design Fund III, L.P.
Common Stock	Disposition	2021-01-08	3,912	$23.57	886,168	No	4	S	Indirect	Through Deerfield Private Design Fund III, L.P.
Common Stock	Disposition	2021-01-08	101,600	$22.24	784,568	No	4	S	Indirect	Through Deerfield Private Design Fund III, L.P.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	Through Deerfield Private Design Fund III, L.P.
No	4	S	Indirect	Through Deerfield Private Design Fund III, L.P.
No	4	S	Indirect	Through Deerfield Private Design Fund III, L.P.
No	4	S	Indirect	Through Deerfield Private Design Fund III, L.P.
No	4	S	Indirect	Through Deerfield Private Design Fund III, L.P.
No	4	S	Indirect	Through Deerfield Private Design Fund III, L.P.
No	4	S	Indirect	Through Deerfield Private Design Fund III, L.P.

Footnotes

The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $21.565 to $22.55, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 1, 4, 5, 6, 7, 8 and 9 of this Form 4.
This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Management Company, L.P. is the investment manager of Fund III. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P. and Deerfield Management Company, L.P.
In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by Fund III is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $22.56 to $22.695, inclusive.
The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $24.00 to $24.88, inclusive.
The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $25.00 to $25.13, inclusive.
The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $24.00 to $24.275, inclusive.
The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $23.22 to $23.96, inclusive.
The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $22.10 to $23.07, inclusive.