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<title>lumo-20220509</title></head><body><div style="display:none"><ix:header><ix:hidden><ix:nonNumeric contextRef="i07bd432ce64b483784ae7b15915c9468_D20220509-20220509" name="dei:EntityCentralIndexKey" id="id3VybDovL2RvY3MudjEvZG9jOmVkZTY1ZWM0Yjk5MDQwNDQ5MzYyM2E0N2ViYjNiMzg1L3NlYzplZGU2NWVjNGI5OTA0MDQ0OTM2MjNhNDdlYmIzYjM4NV8xMy9mcmFnOjgxOTIzYjQyNDM1ZjQ0MzI5ZmVhN2Y2MTE3ZTY5MWUxL3RhYmxlOjU4OGNiZmE4MzVkZjRlNGJiYmJlOTQ2YjBmYWFhNGFmL3RhYmxlcmFuZ2U6NTg4Y2JmYTgzNWRmNGU0YmJiYmU5NDZiMGZhYWE0YWZfMi0xLTEtMS0zNDE2OQ_556595c7-020a-4ad6-b38f-56c3fee98765">0001126234</ix:nonNumeric><ix:nonNumeric contextRef="i07bd432ce64b483784ae7b15915c9468_D20220509-20220509" name="dei:AmendmentFlag" id="id3VybDovL2RvY3MudjEvZG9jOmVkZTY1ZWM0Yjk5MDQwNDQ5MzYyM2E0N2ViYjNiMzg1L3NlYzplZGU2NWVjNGI5OTA0MDQ0OTM2MjNhNDdlYmIzYjM4NV8xMy9mcmFnOjgxOTIzYjQyNDM1ZjQ0MzI5ZmVhN2Y2MTE3ZTY5MWUxL3RhYmxlOjU4OGNiZmE4MzVkZjRlNGJiYmJlOTQ2YjBmYWFhNGFmL3RhYmxlcmFuZ2U6NTg4Y2JmYTgzNWRmNGU0YmJiYmU5NDZiMGZhYWE0YWZfMy0xLTEtMS0zNDE2OQ_d4f6a49c-f04d-4224-aff7-ed014d9dd49e">false</ix:nonNumeric></ix:hidden><ix:references xml:lang="en-US"><link:schemaRef xlink:type="simple" xlink:href="lumo-20220509.xsd"></link:schemaRef></ix:references><ix:resources><xbrli:context id="i07bd432ce64b483784ae7b15915c9468_D20220509-20220509"><xbrli:entity><xbrli:identifier scheme="http://www.sec.gov/CIK">0001126234</xbrli:identifier></xbrli:entity><xbrli:period><xbrli:startDate>2022-05-09</xbrli:startDate><xbrli:endDate>2022-05-09</xbrli:endDate></xbrli:period></xbrli:context></ix:resources></ix:header></div><div id="iede65ec4b990404493623a47ebb3b385_1"></div><div style="min-height:29.25pt;width:100%"><div><span><br/></span></div></div><div style="text-align:center"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:98.900%"></td><td style="width:0.1%"></td></tr><tr style="height:5pt"><td colspan="3" style="border-bottom:2pt solid #000000;padding:0 1pt"></td></tr></table></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:18pt;font-weight:700;line-height:174%">UNITED STATES</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:18pt;font-weight:700;line-height:120%">SECURITIES AND EXCHANGE COMMISSION</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:14pt;font-weight:700;line-height:144%">Washington, D.C. 20549</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:18pt;font-weight:700;line-height:144%">FORM <ix:nonNumeric contextRef="i07bd432ce64b483784ae7b15915c9468_D20220509-20220509" name="dei:DocumentType" id="id3VybDovL2RvY3MudjEvZG9jOmVkZTY1ZWM0Yjk5MDQwNDQ5MzYyM2E0N2ViYjNiMzg1L3NlYzplZGU2NWVjNGI5OTA0MDQ0OTM2MjNhNDdlYmIzYjM4NV8xL2ZyYWc6OTNkM2Q5MzE2M2IyNDRhYWEzNDlmY2RlNzRiY2M4YzEvdGV4dHJlZ2lvbjo5M2QzZDkzMTYzYjI0NGFhYTM0OWZjZGU3NGJjYzhjMV8xNjcy_fa69e75a-25ba-4fe3-9b0c-5f32833e9f65">8-K</ix:nonNumeric> </span></div><div style="margin-top:11pt;padding-left:108pt;padding-right:108pt;text-align:center"><span style="color:#231f20;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:120%">CURRENT REPORT</span></div><div style="margin-top:1pt;text-align:center"><span style="color:#231f20;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:120%">Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934</span></div><div style="text-align:center"><span><br/></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:120%"><ix:nonNumeric contextRef="i07bd432ce64b483784ae7b15915c9468_D20220509-20220509" name="dei:DocumentPeriodEndDate" format="ixt:date-monthname-day-year-en" id="id3VybDovL2RvY3MudjEvZG9jOmVkZTY1ZWM0Yjk5MDQwNDQ5MzYyM2E0N2ViYjNiMzg1L3NlYzplZGU2NWVjNGI5OTA0MDQ0OTM2MjNhNDdlYmIzYjM4NV8xL2ZyYWc6OTNkM2Q5MzE2M2IyNDRhYWEzNDlmY2RlNzRiY2M4YzEvdGV4dHJlZ2lvbjo5M2QzZDkzMTYzYjI0NGFhYTM0OWZjZGU3NGJjYzhjMV8xNzY_38de1fe4-8d44-4edd-81b2-f6081f6a04e7">May 9, 2022</ix:nonNumeric> (May 4, 2022)</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:120%">Date of Report (date of earliest event reported)</span></div><div><span><br/></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:18pt;font-weight:700;line-height:144%"><ix:nonNumeric contextRef="i07bd432ce64b483784ae7b15915c9468_D20220509-20220509" name="dei:EntityRegistrantName" id="id3VybDovL2RvY3MudjEvZG9jOmVkZTY1ZWM0Yjk5MDQwNDQ5MzYyM2E0N2ViYjNiMzg1L3NlYzplZGU2NWVjNGI5OTA0MDQ0OTM2MjNhNDdlYmIzYjM4NV8xL2ZyYWc6OTNkM2Q5MzE2M2IyNDRhYWEzNDlmY2RlNzRiY2M4YzEvdGV4dHJlZ2lvbjo5M2QzZDkzMTYzYjI0NGFhYTM0OWZjZGU3NGJjYzhjMV8xNjc3_6931537d-a2c8-4a65-8081-ed2a200d1ede">LUMOS PHARMA, INC.</ix:nonNumeric> </span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:144%">(Exact name of registrant as specified in its charter)</span></div><div style="margin-top:5pt;text-align:center"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:37.057%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:10.742%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:10.742%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:37.059%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-bottom:1pt;padding-left:2.25pt;padding-right:2.25pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="i07bd432ce64b483784ae7b15915c9468_D20220509-20220509" name="dei:EntityIncorporationStateCountryCode" format="ixt-sec:stateprovnameen" id="id3VybDovL2RvY3MudjEvZG9jOmVkZTY1ZWM0Yjk5MDQwNDQ5MzYyM2E0N2ViYjNiMzg1L3NlYzplZGU2NWVjNGI5OTA0MDQ0OTM2MjNhNDdlYmIzYjM4NV8xL2ZyYWc6OTNkM2Q5MzE2M2IyNDRhYWEzNDlmY2RlNzRiY2M4YzEvdGFibGU6ZDFlZDVmZDA4M2VhNDRmZmExZDEyYjI4YTAwYzgzMjEvdGFibGVyYW5nZTpkMWVkNWZkMDgzZWE0NGZmYTFkMTJiMjhhMDBjODMyMV8wLTAtMS0xLTM0MTY5_f1223445-d641-44e2-9ec4-fb6f5106953e">Delaware</ix:nonNumeric></span></div></td><td colspan="6" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:144%"><ix:nonNumeric contextRef="i07bd432ce64b483784ae7b15915c9468_D20220509-20220509" name="dei:EntityFileNumber" id="id3VybDovL2RvY3MudjEvZG9jOmVkZTY1ZWM0Yjk5MDQwNDQ5MzYyM2E0N2ViYjNiMzg1L3NlYzplZGU2NWVjNGI5OTA0MDQ0OTM2MjNhNDdlYmIzYjM4NV8xL2ZyYWc6OTNkM2Q5MzE2M2IyNDRhYWEzNDlmY2RlNzRiY2M4YzEvdGFibGU6ZDFlZDVmZDA4M2VhNDRmZmExZDEyYjI4YTAwYzgzMjEvdGFibGVyYW5nZTpkMWVkNWZkMDgzZWE0NGZmYTFkMTJiMjhhMDBjODMyMV8wLTEtMS0xLTM0MTY5_70bb9f33-3c35-4887-9e9b-167739e3ad25">001-35342</ix:nonNumeric></span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-bottom:1pt;padding-left:1.12pt;padding-right:1.12pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="i07bd432ce64b483784ae7b15915c9468_D20220509-20220509" name="dei:EntityTaxIdentificationNumber" id="id3VybDovL2RvY3MudjEvZG9jOmVkZTY1ZWM0Yjk5MDQwNDQ5MzYyM2E0N2ViYjNiMzg1L3NlYzplZGU2NWVjNGI5OTA0MDQ0OTM2MjNhNDdlYmIzYjM4NV8xL2ZyYWc6OTNkM2Q5MzE2M2IyNDRhYWEzNDlmY2RlNzRiY2M4YzEvdGFibGU6ZDFlZDVmZDA4M2VhNDRmZmExZDEyYjI4YTAwYzgzMjEvdGFibGVyYW5nZTpkMWVkNWZkMDgzZWE0NGZmYTFkMTJiMjhhMDBjODMyMV8wLTMtMS0xLTM0MTY5_b09a9016-ba64-4de1-8061-b0725b880e9b">42-1491350</ix:nonNumeric></span></div></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div style="margin-bottom:1pt;padding-left:2.25pt;padding-right:2.25pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">(State or other jurisdiction of incorporation or organization)</span></div></td><td colspan="6" style="padding:2px 1pt;text-align:left;vertical-align:top"><div style="margin-bottom:1pt;padding-left:1.12pt;padding-right:1.12pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">(Commission File Number)</span></div></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div style="margin-bottom:1pt;padding-left:2.25pt;padding-right:2.25pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">(I.R.S. Employer Identification No.)</span></div></td></tr></table><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%"> <ix:nonNumeric contextRef="i07bd432ce64b483784ae7b15915c9468_D20220509-20220509" name="dei:EntityAddressAddressLine1" id="id3VybDovL2RvY3MudjEvZG9jOmVkZTY1ZWM0Yjk5MDQwNDQ5MzYyM2E0N2ViYjNiMzg1L3NlYzplZGU2NWVjNGI5OTA0MDQ0OTM2MjNhNDdlYmIzYjM4NV8xL2ZyYWc6OTNkM2Q5MzE2M2IyNDRhYWEzNDlmY2RlNzRiY2M4YzEvdGV4dHJlZ2lvbjo5M2QzZDkzMTYzYjI0NGFhYTM0OWZjZGU3NGJjYzhjMV8xNjcz_cc6e17ac-76c5-4a5b-bdac-8b72a205efc9">4200 Marathon Blvd., Suite 200</ix:nonNumeric></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:144%"><ix:nonNumeric contextRef="i07bd432ce64b483784ae7b15915c9468_D20220509-20220509" name="dei:EntityAddressCityOrTown" id="id3VybDovL2RvY3MudjEvZG9jOmVkZTY1ZWM0Yjk5MDQwNDQ5MzYyM2E0N2ViYjNiMzg1L3NlYzplZGU2NWVjNGI5OTA0MDQ0OTM2MjNhNDdlYmIzYjM4NV8xL2ZyYWc6OTNkM2Q5MzE2M2IyNDRhYWEzNDlmY2RlNzRiY2M4YzEvdGV4dHJlZ2lvbjo5M2QzZDkzMTYzYjI0NGFhYTM0OWZjZGU3NGJjYzhjMV8xNjc4_5614b77b-3d4c-4b48-960f-472c5d74eb02">Austin</ix:nonNumeric>, <ix:nonNumeric contextRef="i07bd432ce64b483784ae7b15915c9468_D20220509-20220509" name="dei:EntityAddressStateOrProvince" format="ixt-sec:stateprovnameen" id="id3VybDovL2RvY3MudjEvZG9jOmVkZTY1ZWM0Yjk5MDQwNDQ5MzYyM2E0N2ViYjNiMzg1L3NlYzplZGU2NWVjNGI5OTA0MDQ0OTM2MjNhNDdlYmIzYjM4NV8xL2ZyYWc6OTNkM2Q5MzE2M2IyNDRhYWEzNDlmY2RlNzRiY2M4YzEvdGV4dHJlZ2lvbjo5M2QzZDkzMTYzYjI0NGFhYTM0OWZjZGU3NGJjYzhjMV8xNjY2_c7857858-e8e2-46d9-9c01-9d6c1c130234">Texas</ix:nonNumeric> <ix:nonNumeric contextRef="i07bd432ce64b483784ae7b15915c9468_D20220509-20220509" name="dei:EntityAddressPostalZipCode" id="id3VybDovL2RvY3MudjEvZG9jOmVkZTY1ZWM0Yjk5MDQwNDQ5MzYyM2E0N2ViYjNiMzg1L3NlYzplZGU2NWVjNGI5OTA0MDQ0OTM2MjNhNDdlYmIzYjM4NV8xL2ZyYWc6OTNkM2Q5MzE2M2IyNDRhYWEzNDlmY2RlNzRiY2M4YzEvdGV4dHJlZ2lvbjo5M2QzZDkzMTYzYjI0NGFhYTM0OWZjZGU3NGJjYzhjMV8xNjY3_947abd3a-ec7b-4f03-8f8e-59c80400c9f3">78756</ix:nonNumeric></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:144%">(Address of Principal Executive Offices)</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:144%">(<ix:nonNumeric contextRef="i07bd432ce64b483784ae7b15915c9468_D20220509-20220509" name="dei:CityAreaCode" id="id3VybDovL2RvY3MudjEvZG9jOmVkZTY1ZWM0Yjk5MDQwNDQ5MzYyM2E0N2ViYjNiMzg1L3NlYzplZGU2NWVjNGI5OTA0MDQ0OTM2MjNhNDdlYmIzYjM4NV8xL2ZyYWc6OTNkM2Q5MzE2M2IyNDRhYWEzNDlmY2RlNzRiY2M4YzEvdGV4dHJlZ2lvbjo5M2QzZDkzMTYzYjI0NGFhYTM0OWZjZGU3NGJjYzhjMV8xNjc1_f401ea17-9c2c-4952-a8f5-db3cc00d63f3">512</ix:nonNumeric>) <ix:nonNumeric contextRef="i07bd432ce64b483784ae7b15915c9468_D20220509-20220509" name="dei:LocalPhoneNumber" id="id3VybDovL2RvY3MudjEvZG9jOmVkZTY1ZWM0Yjk5MDQwNDQ5MzYyM2E0N2ViYjNiMzg1L3NlYzplZGU2NWVjNGI5OTA0MDQ0OTM2MjNhNDdlYmIzYjM4NV8xL2ZyYWc6OTNkM2Q5MzE2M2IyNDRhYWEzNDlmY2RlNzRiY2M4YzEvdGV4dHJlZ2lvbjo5M2QzZDkzMTYzYjI0NGFhYTM0OWZjZGU3NGJjYzhjMV8xNjc2_02e4baed-088d-405d-8f12-0fb8b427e95f">215-2630</ix:nonNumeric> </span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:110%">Registrant's telephone number, including area code</span></div><div style="padding-left:5.62pt;padding-right:5.62pt;text-align:center"><span><br/></span></div><div style="padding-left:5.62pt;padding-right:5.62pt;text-align:center"><span><br/></span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):</span></div><div><span><br/></span></div><div style="margin-bottom:1pt;padding-left:2.25pt;padding-right:2.25pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%"><ix:nonNumeric contextRef="i07bd432ce64b483784ae7b15915c9468_D20220509-20220509" name="dei:WrittenCommunications" format="ixt-sec:boolballotbox" id="id3VybDovL2RvY3MudjEvZG9jOmVkZTY1ZWM0Yjk5MDQwNDQ5MzYyM2E0N2ViYjNiMzg1L3NlYzplZGU2NWVjNGI5OTA0MDQ0OTM2MjNhNDdlYmIzYjM4NV8xL2ZyYWc6OTNkM2Q5MzE2M2IyNDRhYWEzNDlmY2RlNzRiY2M4YzEvdGV4dHJlZ2lvbjo5M2QzZDkzMTYzYjI0NGFhYTM0OWZjZGU3NGJjYzhjMV8xNjY4_4b294fd9-861c-48d4-94ce-e9e3f1a8a05a">&#9744;</ix:nonNumeric></span><span style="color:#000000;font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:120%"> </span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</span></div><div style="margin-bottom:1pt;padding-left:2.25pt;padding-right:2.25pt"><span><br/></span></div><div style="margin-bottom:1pt;padding-left:2.25pt;padding-right:2.25pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%"><ix:nonNumeric contextRef="i07bd432ce64b483784ae7b15915c9468_D20220509-20220509" name="dei:SolicitingMaterial" format="ixt-sec:boolballotbox" id="id3VybDovL2RvY3MudjEvZG9jOmVkZTY1ZWM0Yjk5MDQwNDQ5MzYyM2E0N2ViYjNiMzg1L3NlYzplZGU2NWVjNGI5OTA0MDQ0OTM2MjNhNDdlYmIzYjM4NV8xL2ZyYWc6OTNkM2Q5MzE2M2IyNDRhYWEzNDlmY2RlNzRiY2M4YzEvdGV4dHJlZ2lvbjo5M2QzZDkzMTYzYjI0NGFhYTM0OWZjZGU3NGJjYzhjMV8xNjY5_f83e9d04-2031-4832-ba30-74696b6fb418">&#9744;</ix:nonNumeric></span><span style="color:#000000;font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:120%"> </span><span style="color:#231f20;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) </span></div><div><span><br/></span></div><div style="margin-bottom:1pt;padding-left:2.25pt;padding-right:2.25pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%"><ix:nonNumeric contextRef="i07bd432ce64b483784ae7b15915c9468_D20220509-20220509" name="dei:PreCommencementTenderOffer" format="ixt-sec:boolballotbox" id="id3VybDovL2RvY3MudjEvZG9jOmVkZTY1ZWM0Yjk5MDQwNDQ5MzYyM2E0N2ViYjNiMzg1L3NlYzplZGU2NWVjNGI5OTA0MDQ0OTM2MjNhNDdlYmIzYjM4NV8xL2ZyYWc6OTNkM2Q5MzE2M2IyNDRhYWEzNDlmY2RlNzRiY2M4YzEvdGV4dHJlZ2lvbjo5M2QzZDkzMTYzYjI0NGFhYTM0OWZjZGU3NGJjYzhjMV8xNjcw_9bc43536-71c1-4fa1-9e0a-9d530955d456">&#9744;</ix:nonNumeric></span><span style="color:#000000;font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:120%"> </span><span style="color:#231f20;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) </span></div><div><span><br/></span></div><div style="margin-bottom:1pt;padding-left:2.25pt;padding-right:2.25pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%"><ix:nonNumeric contextRef="i07bd432ce64b483784ae7b15915c9468_D20220509-20220509" name="dei:PreCommencementIssuerTenderOffer" format="ixt-sec:boolballotbox" id="id3VybDovL2RvY3MudjEvZG9jOmVkZTY1ZWM0Yjk5MDQwNDQ5MzYyM2E0N2ViYjNiMzg1L3NlYzplZGU2NWVjNGI5OTA0MDQ0OTM2MjNhNDdlYmIzYjM4NV8xL2ZyYWc6OTNkM2Q5MzE2M2IyNDRhYWEzNDlmY2RlNzRiY2M4YzEvdGV4dHJlZ2lvbjo5M2QzZDkzMTYzYjI0NGFhYTM0OWZjZGU3NGJjYzhjMV8xNjcx_39382d93-57af-4c2e-a220-57455ba89558">&#9744;</ix:nonNumeric></span><span style="color:#231f20;font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:120%"> </span><span style="color:#231f20;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) </span></div><div><span><br/></span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Securities registered pursuant to Section 12(b) of the Act: </span></div><div style="margin-top:5pt;text-align:center"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:99.707%"><tr><td style="width:1.0%"></td><td style="width:33.504%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:20.160%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:43.036%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Title of each class</span></td><td colspan="3" style="border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Trading Symbol(s)</span></td><td colspan="3" style="border-left:1pt solid #000000;border-right:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Name of each exchange on which registered</span></td></tr><tr><td colspan="3" style="border-bottom:1pt solid #000000;border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%"><ix:nonNumeric contextRef="i07bd432ce64b483784ae7b15915c9468_D20220509-20220509" name="dei:Security12bTitle" id="id3VybDovL2RvY3MudjEvZG9jOmVkZTY1ZWM0Yjk5MDQwNDQ5MzYyM2E0N2ViYjNiMzg1L3NlYzplZGU2NWVjNGI5OTA0MDQ0OTM2MjNhNDdlYmIzYjM4NV8xL2ZyYWc6OTNkM2Q5MzE2M2IyNDRhYWEzNDlmY2RlNzRiY2M4YzEvdGFibGU6YjU3MWQ2ZmVmMGMzNDJlYThjNTliYzM1Nzc0ZjdmMmMvdGFibGVyYW5nZTpiNTcxZDZmZWYwYzM0MmVhOGM1OWJjMzU3NzRmN2YyY18xLTAtMS0xLTM0MTY5_da6d9893-f728-4378-b5b8-b68273a048a0">Common Stock</ix:nonNumeric></span></td><td colspan="3" style="border-bottom:1pt solid #000000;border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Lato Black',sans-serif;font-size:10pt;font-weight:400;line-height:100%"><ix:nonNumeric contextRef="i07bd432ce64b483784ae7b15915c9468_D20220509-20220509" name="dei:TradingSymbol" id="id3VybDovL2RvY3MudjEvZG9jOmVkZTY1ZWM0Yjk5MDQwNDQ5MzYyM2E0N2ViYjNiMzg1L3NlYzplZGU2NWVjNGI5OTA0MDQ0OTM2MjNhNDdlYmIzYjM4NV8xL2ZyYWc6OTNkM2Q5MzE2M2IyNDRhYWEzNDlmY2RlNzRiY2M4YzEvdGFibGU6YjU3MWQ2ZmVmMGMzNDJlYThjNTliYzM1Nzc0ZjdmMmMvdGFibGVyYW5nZTpiNTcxZDZmZWYwYzM0MmVhOGM1OWJjMzU3NzRmN2YyY18xLTEtMS0xLTM0MTY5_fd78a1bf-10b0-4e4a-9259-625b85c67324">LUMO</ix:nonNumeric></span></td><td colspan="3" style="border-bottom:1pt solid #000000;border-left:1pt solid #000000;border-right:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Lato Black',sans-serif;font-size:10pt;font-weight:400;line-height:100%"><ix:nonNumeric contextRef="i07bd432ce64b483784ae7b15915c9468_D20220509-20220509" name="dei:SecurityExchangeName" format="ixt-sec:exchnameen" id="id3VybDovL2RvY3MudjEvZG9jOmVkZTY1ZWM0Yjk5MDQwNDQ5MzYyM2E0N2ViYjNiMzg1L3NlYzplZGU2NWVjNGI5OTA0MDQ0OTM2MjNhNDdlYmIzYjM4NV8xL2ZyYWc6OTNkM2Q5MzE2M2IyNDRhYWEzNDlmY2RlNzRiY2M4YzEvdGFibGU6YjU3MWQ2ZmVmMGMzNDJlYThjNTliYzM1Nzc0ZjdmMmMvdGFibGVyYW5nZTpiNTcxZDZmZWYwYzM0MmVhOGM1OWJjMzU3NzRmN2YyY18xLTItMS0xLTM0MTY5_17bc3378-605f-406d-bf5f-0606fd53898a">The Nasdaq Stock Market</ix:nonNumeric></span></td></tr></table></div><div><span><br/></span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (&#167;230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (&#167;240.12b-2 of this chapter).</span></div><div style="text-align:right"><span style="color:#231f20;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Emerging growth company </span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%"><ix:nonNumeric contextRef="i07bd432ce64b483784ae7b15915c9468_D20220509-20220509" name="dei:EntityEmergingGrowthCompany" format="ixt-sec:boolballotbox" id="id3VybDovL2RvY3MudjEvZG9jOmVkZTY1ZWM0Yjk5MDQwNDQ5MzYyM2E0N2ViYjNiMzg1L3NlYzplZGU2NWVjNGI5OTA0MDQ0OTM2MjNhNDdlYmIzYjM4NV8xL2ZyYWc6OTNkM2Q5MzE2M2IyNDRhYWEzNDlmY2RlNzRiY2M4YzEvdGV4dHJlZ2lvbjo5M2QzZDkzMTYzYjI0NGFhYTM0OWZjZGU3NGJjYzhjMV8xNjc0_59fc19bd-8b77-4f4c-bab1-eefd339ee7e6">&#9744;</ix:nonNumeric></span><span style="color:#231f20;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%"> </span></div><div><span><br/></span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. </span></div><div style="height:24.75pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div><span><br/></span></div></div></div><div id="iede65ec4b990404493623a47ebb3b385_4"></div><hr style="page-break-after:always"/><div style="min-height:42.75pt;width:100%"><div><span><br/></span></div></div><div><span><br/></span></div><div style="-sec-extract:summary"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">Item 5.07&#160;&#160;&#160;&#160;Submission of Matters to a Vote of Security Holders.</span></div><div><span><br/></span></div><div style="margin-bottom:3pt;margin-top:3pt;text-align:justify;text-indent:36pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">The 2022 Annual Meeting of Stockholders of Lumos Pharma, Inc. (the &#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-style:italic;font-weight:700;line-height:120%">Company</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">&#8221;) was held May 4, 2022, for the following purposes:</span></div><div style="margin-bottom:3pt;margin-top:3pt;padding-left:36pt;text-align:justify;text-indent:-18pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">&#8226;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%;padding-left:14.5pt">To elect the nominees for director, An van Es-Johansson, Kevin Lalande and Joseph S. McCracken, nominated by the Board of Directors of the Company (the &#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-style:italic;font-weight:700;line-height:120%">Board</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">&#8221;), to serve until the 2025 Annual Meeting of Stockholders;</span></div><div style="margin-bottom:3pt;margin-top:3pt;padding-left:36pt;text-align:justify;text-indent:-18pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">&#8226;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%;padding-left:14.5pt">To approve, on a non-binding, advisory basis, the compensation of the Company&#8217;s named executive officers as disclosed in the Company&#8217;s definitive proxy statement, filed with the Securities and Exchange Commission on March 23, 2022 (the &#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-style:italic;font-weight:700;line-height:120%">Proxy Statement</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">&#8221;);</span></div><div style="margin-bottom:3pt;margin-top:3pt;padding-left:36pt;text-align:justify;text-indent:-18pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">&#8226;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%;padding-left:14.5pt">To approve the amended Lumos Pharma, Inc. 2010 Employee Stock Purchase Plan, as disclosed in the Proxy Statement; and</span></div><div style="margin-bottom:3pt;margin-top:3pt;padding-left:36pt;text-align:justify;text-indent:-18pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">&#8226;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%;padding-left:14.5pt">To ratify the selection by the Audit Committee of the Board of KPMG, LLP as the independent registered public accounting firm of the Company for its fiscal year ending December 31, 2022.  </span></div><div style="margin-bottom:3pt;margin-top:3pt;text-align:justify"><span><br/></span></div><div style="margin-bottom:3pt;margin-top:3pt;text-align:justify;text-indent:36pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">At the meeting, the stockholders of the Company:</span></div><div style="margin-bottom:3pt;margin-top:3pt;padding-left:36pt;text-align:justify;text-indent:-18pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">&#8226;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%;padding-left:14.5pt">elected An van Es-Johansson, Kevin Lalande and Joseph S. McCracken as directors of the Company;</span></div><div style="margin-bottom:3pt;margin-top:3pt;padding-left:36pt;text-align:justify;text-indent:-18pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">&#8226;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%;padding-left:14.5pt">approved, on a non-binding, advisory basis, the compensation of the Company&#8217;s named executive officers, as set forth in the Proxy Statement; </span></div><div style="margin-bottom:3pt;margin-top:3pt;padding-left:36pt;text-align:justify;text-indent:-18pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">&#8226;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%;padding-left:14.5pt">approved the amended Lumos Pharma, Inc. 2010 Employee Stock Purchase Plan, as described in the Proxy Statement; and </span></div><div style="margin-bottom:3pt;margin-top:3pt;padding-left:36pt;text-align:justify;text-indent:-18pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">&#8226;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%;padding-left:14.5pt">ratified the appointment of KPMG, LLP as the Company&#8217;s independent registered public accounting firm for the Company&#8217;s fiscal year ending December 31, 2022.</span></div><div style="margin-bottom:3pt;margin-top:3pt;text-align:justify"><span><br/></span></div><div style="margin-bottom:3pt;margin-top:3pt;text-align:justify;text-indent:36pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">The final voting results on each of the matters submitted to a vote of stockholders at the 2022 Annual Meeting are as follows:</span></div><div><span><br/></span></div><div><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:91.228%"><tr><td style="width:1.0%"></td><td style="width:1.944%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:41.528%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:17.008%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:17.008%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:17.012%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Election of Directors</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">For</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Withheld</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Broker Non-Votes</span></td></tr><tr><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">1.</span></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">An van Es-Johansson</span></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">3,974,725</span></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">124,674</span></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">2,457,834</span></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Kevin Lalande</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">4,062,816</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">36,583</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">2,457,834</span></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Joseph S. McCracken</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">4,072,614</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">26,785</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">2,457,834</span></td></tr></table></div><div><span><br/></span></div><div><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:91.228%"><tr><td style="width:1.0%"></td><td style="width:1.944%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:34.797%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:4.188%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:12.041%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:10.438%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:11.239%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:17.653%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">For</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Against</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Abstentions</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Broker Non-Votes</span></td></tr><tr><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">2.</span></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:left;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Approval, on an advisory basis, of the compensation of the Company&#8217;s named executive officers</span></td><td colspan="3" style="border-top:1pt solid #000;padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">4,061,654</span></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">33,990</span></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">3,755</span></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">2,457,834</span></td></tr></table></div><div><span><br/></span></div><div><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:91.228%"><tr><td style="width:1.0%"></td><td style="width:1.944%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:34.797%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:4.188%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:12.041%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:10.438%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:11.239%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:17.653%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">For</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Against</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Abstentions</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Broker Non-Votes</span></td></tr><tr><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">3.</span></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:left;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Approval of the Company&#8217;s amended 2010 Employee Stock Purchase Plan</span></td><td colspan="3" style="border-top:1pt solid #000;padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">4,054,388</span></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">43,596</span></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">1,415</span></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">2,457,834</span></td></tr></table></div><div><span><br/></span></div><div><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:91.228%"><tr><td style="width:1.0%"></td><td style="width:1.944%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:36.239%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:4.188%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:17.008%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:17.008%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:17.013%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">For</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Against</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Abstentions</span></td></tr><tr><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">4.</span></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:left;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Ratification of KPMG, LLP as independent registered public accounting firm for the Company&#8217;s fiscal year ending December 31, 2022</span></td><td colspan="3" style="border-top:1pt solid #000;padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">6,451,958</span></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">104,619</span></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">656</span></td></tr></table></div><div><span><br/></span></div><div style="text-align:justify;text-indent:36pt"><span><br/></span></div><div style="text-align:justify;text-indent:36pt"><span><br/></span></div><div style="text-align:justify;text-indent:36pt"><span><br/></span></div><div style="height:42.75pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div><span><br/></span></div></div></div><hr style="page-break-after:always"/><div style="min-height:42.75pt;width:100%"><div><span><br/></span></div></div><div style="text-align:justify;text-indent:36pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%"> </span></div><div id="iede65ec4b990404493623a47ebb3b385_10"></div><div style="-sec-extract:summary;margin-top:6pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">SIGNATURES</span></div><div style="margin-bottom:12pt;text-align:justify"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">&#160;&#160;&#160;&#160;Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</span></div><div style="text-align:justify"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Dated:&#160;&#160;&#160;&#160;May 9, 2022</span></div><div style="text-align:justify"><span><br/></span></div><div style="text-align:justify"><span><br/></span></div><div style="text-align:center"><span><br/></span></div><div style="margin-top:5pt;text-align:center"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:56.140%"><tr><td style="width:1.0%"></td><td style="width:11.400%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:86.400%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">LUMOS PHARMA, INC.,<br/>a Delaware corporation</span></td></tr><tr style="height:20pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr style="height:20pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">By:</span></td><td colspan="3" style="padding:2px 1pt;text-align:justify;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%;text-decoration:underline">/s/ Richard J. Hawkins</span></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:justify;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">&#160;&#160;Richard J. Hawkins</span></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Its:</span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">&#160;&#160;Chief Executive Officer</span></td></tr></table></div><div><span><br/></span></div><div style="height:42.75pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div><span><br/></span></div></div></div></body></html>
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lumo-20220509
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
8-K
CURRENT REPORT
Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934
May 9, 2022
(May 4, 2022)
Date of Report (date of earliest event reported)
LUMOS PHARMA, INC.
(Exact name of registrant as specified in its charter)
Delaware
001-35342
42-1491350
(State or other jurisdiction of incorporation or organization)
(Commission File Number)
(I.R.S. Employer Identification No.)
4200 Marathon Blvd., Suite 200
Austin
,
Texas
78756
(Address of Principal Executive Offices)
(
512
)
215-2630
Registrant's telephone number, including area code
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of each class
Trading Symbol(s)
Name of each exchange on which registered
Common Stock
LUMO
The Nasdaq Stock Market
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company
☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
Item 5.07    Submission of Matters to a Vote of Security Holders.
The 2022 Annual Meeting of Stockholders of Lumos Pharma, Inc. (the "
Company
") was held May 4, 2022, for the following purposes:
•
To elect the nominees for director, An van Es-Johansson, Kevin Lalande and Joseph S. McCracken, nominated by the Board of Directors of the Company (the "
Board
"), to serve until the 2025 Annual Meeting of Stockholders;
•
To approve, on a non-binding, advisory basis, the compensation of the Company's named executive officers as disclosed in the Company's definitive proxy statement, filed with the Securities and Exchange Commission on March 23, 2022 (the "
Proxy Statement
");
•
To approve the amended Lumos Pharma, Inc. 2010 Employee Stock Purchase Plan, as disclosed in the Proxy Statement; and
•
To ratify the selection by the Audit Committee of the Board of KPMG, LLP as the independent registered public accounting firm of the Company for its fiscal year ending December 31, 2022.
At the meeting, the stockholders of the Company:
•
elected An van Es-Johansson, Kevin Lalande and Joseph S. McCracken as directors of the Company;
•
approved, on a non-binding, advisory basis, the compensation of the Company's named executive officers, as set forth in the Proxy Statement;
•
approved the amended Lumos Pharma, Inc. 2010 Employee Stock Purchase Plan, as described in the Proxy Statement; and
•
ratified the appointment of KPMG, LLP as the Company's independent registered public accounting firm for the Company's fiscal year ending December 31, 2022.
The final voting results on each of the matters submitted to a vote of stockholders at the 2022 Annual Meeting are as follows:
Election of Directors
For
Withheld
Broker Non-Votes
1.
An van Es-Johansson
3,974,725
124,674
2,457,834
Kevin Lalande
4,062,816
36,583
2,457,834
Joseph S. McCracken
4,072,614
26,785
2,457,834
For
Against
Abstentions
Broker Non-Votes
2.
Approval, on an advisory basis, of the compensation of the Company's named executive officers
4,061,654
33,990
3,755
2,457,834
For
Against
Abstentions
Broker Non-Votes
3.
Approval of the Company's amended 2010 Employee Stock Purchase Plan
4,054,388
43,596
1,415
2,457,834
For
Against
Abstentions
4.
Ratification of KPMG, LLP as independent registered public accounting firm for the Company's fiscal year ending December 31, 2022
6,451,958
104,619
656
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Dated:    May 9, 2022
LUMOS PHARMA, INC.,
a Delaware corporation
By:
/s/ Richard J. Hawkins
Richard J. Hawkins
Its:
Chief Executive Officer