BIOS Fund I, LP's Form 4 filing
Lantern Pharma Inc. (LTRN) · filed Sep 7, 2022
- Accession no.
- 0001104659-22-098246
- Filed
- Sep 7, 2022, 4:55 PM ET
- Trade date
- Sep 2, 2022
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $33.5K. It was filed 5 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| BIOS Fund I, LPCIK 0001697316 | 10% Owner |
| BIOS Fund I QP, LPCIK 0001700297 | 10% Owner |
| BIOS Fund II, LPCIK 0001714576 | 10% Owner |
| BIOS Fund II QP, LPCIK 0001716869 | 10% Owner |
| BIOS Fund II NT, LPCIK 0001728851 | 10% Owner |
| Fletcher Aaron G.L.CIK 0001789490 | 10% Owner |
| Bios Equity Partners II, LPCIK 0001813313 | 10% Owner |
| Bios Equity Partners, LPCIK 0001813314 | 10% Owner |
| BIOS Advisors GP, LLCCIK 0001813844 | 10% Owner |
| BIOS Capital Management, LPCIK 0001813845 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 2, 2022 | Common Stock | XIn-the-money exerciseAcquired | +26,100 | $1.03 | +$26,883 | 26,100 | Indirect | Duplicate filing |
| Sep 2, 2022 | Common Stock | SSaleDisposed | −5,170 | $5.20 | −$26,884 | 20,930 | Indirect | Duplicate filing |
| Sep 2, 2022 | Common Stock | XIn-the-money exerciseAcquired | +6,438 | $1.03 | +$6,631.14 | 27,328 | Indirect | Duplicate filing |
| Sep 2, 2022 | Common Stock | SSaleDisposed | −1,275 | $5.20 | −$6,630 | 26,093 | Indirect | Duplicate filing |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 2, 2022 | Common Stock | XIn-the-money exerciseAcquired | +26,100 | $0.00 | $0 | 6,438 | Indirect | Duplicate filing |
| Sep 2, 2022 | Common Stock | XIn-the-money exerciseAcquired | +6,438 | $0.00 | $0 | 0 | Indirect | Duplicate filing |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.
Remarks
This Form 4 is the second of two Forms 4 filed relating to the same event. The Form 4 has been split into two filings because there are more than 10 reporting persons in total, and the SEC's EDGAR filing system limits a single Form 4 to a maximum of 10 reporting person. The first Form 4 was filed by Leslie W. Kreis, Jr. as the designated filer.