4//SEC Filing
Deerfield Private Design Fund III, L.P. 4
Accession 0001193805-21-000029
CIK 0001126234other
Filed
Jan 7, 7:00 PM ET
Accepted
Jan 8, 5:54 PM ET
Size
28.7 KB
Accession
0001193805-21-000029
Insider Transaction Report
Form 4
Flynn James E
10% OwnerOther
Transactions
- Sale
Common Stock
2021-01-06$22.47/sh−28,108$631,620→ 908,183 total(indirect: Through Deerfield Private Design Fund III, L.P.) - Sale
Common Stock
2021-01-06$22.64/sh−931$21,082→ 907,252 total(indirect: Through Deerfield Private Design Fund III, L.P.) - Sale
Common Stock
2021-01-07$24.35/sh−11,794$287,157→ 895,458 total(indirect: Through Deerfield Private Design Fund III, L.P.) - Sale
Common Stock
2021-01-08$24.11/sh−1,000$24,108→ 890,080 total(indirect: Through Deerfield Private Design Fund III, L.P.) - Sale
Common Stock
2021-01-08$22.24/sh−101,600$2,259,797→ 784,568 total(indirect: Through Deerfield Private Design Fund III, L.P.) - Sale
Common Stock
2021-01-07$25.05/sh−4,378$109,665→ 891,080 total(indirect: Through Deerfield Private Design Fund III, L.P.) - Sale
Common Stock
2021-01-08$23.57/sh−3,912$92,194→ 886,168 total(indirect: Through Deerfield Private Design Fund III, L.P.)
Footnotes (9)
- [F1]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.
- [F2]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.
- [F3]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.
- [F4]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.
- [F5]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.
- [F6]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.
- [F7]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.
- [F8]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.
- [F9]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.
Documents
Issuer
LUMOS PHARMA, INC.
CIK 0001126234
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001603333
Filing Metadata
- Form type
- 4
- Filed
- Jan 7, 7:00 PM ET
- Accepted
- Jan 8, 5:54 PM ET
- Size
- 28.7 KB