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Filing Details

Accession Number:: 0001104659-22-098246
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2022-09-07 16:55:03
Reporting Period:: 2022-09-02

Accepted Time:: 2022-09-07 16:55:03
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1763950	Lantern Pharma Inc.	LTRN	()	TX

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1697316	Bios Fund I, Lp	1401 Foch Street Suite 140 Fort Worth TX 76107	No	No	Yes	No
1700297	Bios Fund I Qp, Lp	1401 Foch Street, Suite 140 Fort Worth TX 76107	No	No	Yes	No
1714576	Bios Fund Ii, Lp	1401 Foch Street Suite 140 Fort Worth TX 76107	No	No	Yes	No
1716869	Bios Fund Ii Qp, Lp	1401 Foch Street Suite 140 Fort Worth TX 76107	No	No	Yes	No
1728851	Bios Fund Ii Nt, Lp	1401 Foch Street, Suite 140 Fort Worth TX 76107	No	No	Yes	No
1789490	G.l. Aaron Fletcher	C/O Lantern Pharma Inc. 1920 Mckinney Avenue, 7Th Floor Dallas TX 75201	No	No	Yes	No
1813313	Bios Equity Partners Ii, Lp	1751 River Run, Suite 400 Fort Worth TX 76107	No	No	Yes	No
1813314	Bios Equity Partners, Lp	1751 River Run, Suite 400 Fort Worth TX 76107	No	No	Yes	No
1813844	Bios Advisors Gp, Llc	1751 River Run Suite 400 Fort Worth TX 76107	No	No	Yes	No
1813845	Bios Capital Management, Lp	1751 River Run Suite 400 Fort Worth TX 76107	No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2022-09-02	26,100	$1.03	26,100	No	4	X	Indirect	By BP Directors, LP
Common Stock	Disposition	2022-09-02	5,170	$5.20	20,930	No	4	S	Indirect	By BP Directors, LP
Common Stock	Acquisiton	2022-09-02	6,438	$1.03	27,328	No	4	X	Indirect	By BP Directors, LP
Common Stock	Disposition	2022-09-02	1,275	$5.20	26,093	No	4	S	Indirect	By BP Directors, LP

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	X	Indirect	By BP Directors, LP
No	4	S	Indirect	By BP Directors, LP
No	4	X	Indirect	By BP Directors, LP
No	4	S	Indirect	By BP Directors, LP

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option	Acquisiton	2022-09-02	26,100	$0.00	26,100	$1.03
Common Stock	Stock Option	Acquisiton	2022-09-02	6,438	$0.00	6,438	$1.03

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
6,438	2018-12-17	2028-12-16	No	4	X	Indirect
0	2018-12-17	2028-12-16	No	4	X	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	564,038	Indirect	By Bios Fund I, LP
Common Stock	329,904	Indirect	By Bios Fund I QP, LP
Common Stock	204,723	Indirect	By Bios Fund II, LP
Common Stock	668,738	Indirect	By Bios Fund II QP, LP
Common Stock	89,522	Indirect	By Bios Fund II NT, LP

Footnotes

On September 2, 2022, the reporting person exercised an option to purchase 26,100 shares of LTRN common stock for $1.03 a share. The reporting person paid the exercise price on a cashless basis, resulting in LTRN's withholding of 5,170 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 20,930 shares.
On September 2, 2022, the reporting person exercised an option to purchase 6,438 shares of LTRN common stock for $1.03 a share. The reporting person paid the exercise price on a cashless basis, resulting in LTRN's withholding of 1,275 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 5,163 shares.
Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, Bios Fund I QP and BP Directors, LP ("Bios Directors"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, Bios Fund II QP and Bios Fund II NT. Cavu Management, LP ("Cavu Management"), an entity managed and controlled by Mr. Kreis, and Bios Capital Management, LP ("Bios Management"), an entity managed and controlled by Aaron Glenn Louis Fletcher, are each a general partner of Bios Equity I and Bios Equity II. Cavu Advisors LLC ("Cavu Advisors"), an entity that is managed and controlled by Mr. Kreis, is the general partner of Cavu Management. Bios Advisors GP, LLC ("Bios Advisors"), an entity that is managed and controlled by Mr. Fletcher, is the general partner of Bios Management.
Mr. Kreis, Cavu Management, Cavu Advisors, Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund I, Bios Fund I QP, Bios Directors, Bios Fund II, Bios Fund II QP and Bios Fund II NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Kreis, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors and the Bios Equity Entities, Mr. Kreis, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities.
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 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.