Last 12 months
Inside the activity.
2 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 2 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 08, 2022 Filed Nov 10, 2022 02:37 UTC |
Fletcher Aaron G.L.10% owner
BIOS Fund I, LP10% owner
BIOS Fund I QP, LP10% owner
BIOS Fund II, LP10% owner
BIOS Fund II QP, LP10% owner
BIOS Fund II NT, LP10% owner
Bios Equity Partners, LP10% owner
Bios Equity Partners II, LP10% owner
BIOS Capital Management, LP10% owner
BIOS Advisors GP, LLC10% owner
|
SaleCommon Stock | 40,586 | $4.40 | $178,578.40 |
DisclosureSEC source: 0001104659-22-116666 · tm2230197-1_4seq1.xml · nonDerivative · entry 5 Fletcher Aaron G.L. · CIK 0001789490 · 10% owner BIOS Fund I, LP · CIK 0001697316 · 10% owner BIOS Fund I QP, LP · CIK 0001700297 · 10% owner BIOS Fund II, LP · CIK 0001714576 · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · 10% owner Bios Equity Partners, LP · CIK 0001813314 · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · 10% owner BIOS Capital Management, LP · CIK 0001813845 · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Bios Fund II, LP Disclosed balance after: 164,137 F1 · ownership.nature: 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. F2 · ownership.nature: 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. Bios F3 · ownership.nature: 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. Read SEC document |
| November 08, 2022 Filed Nov 10, 2022 02:37 UTC |
Fletcher Aaron G.L.10% owner
BIOS Fund I, LP10% owner
BIOS Fund I QP, LP10% owner
BIOS Fund II, LP10% owner
BIOS Fund II QP, LP10% owner
BIOS Fund II NT, LP10% owner
Bios Equity Partners, LP10% owner
Bios Equity Partners II, LP10% owner
BIOS Capital Management, LP10% owner
BIOS Advisors GP, LLC10% owner
|
SaleCommon Stock | 132,575 | $4.40 | $583,330.00 |
DisclosureSEC source: 0001104659-22-116666 · tm2230197-1_4seq1.xml · nonDerivative · entry 4 Fletcher Aaron G.L. · CIK 0001789490 · 10% owner BIOS Fund I, LP · CIK 0001697316 · 10% owner BIOS Fund I QP, LP · CIK 0001700297 · 10% owner BIOS Fund II, LP · CIK 0001714576 · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · 10% owner Bios Equity Partners, LP · CIK 0001813314 · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · 10% owner BIOS Capital Management, LP · CIK 0001813845 · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Bios Fund II QP, LP Disclosed balance after: 536,163 F1 · ownership.nature: 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. F2 · ownership.nature: 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. Bios F3 · ownership.nature: 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. Read SEC document |
| November 08, 2022 Filed Nov 10, 2022 02:37 UTC |
Fletcher Aaron G.L.10% owner
BIOS Fund I, LP10% owner
BIOS Fund I QP, LP10% owner
BIOS Fund II, LP10% owner
BIOS Fund II QP, LP10% owner
BIOS Fund II NT, LP10% owner
Bios Equity Partners, LP10% owner
Bios Equity Partners II, LP10% owner
BIOS Capital Management, LP10% owner
BIOS Advisors GP, LLC10% owner
|
SaleCommon Stock | 17,748 | $4.40 | $78,091.20 |
DisclosureSEC source: 0001104659-22-116666 · tm2230197-1_4seq1.xml · nonDerivative · entry 3 Fletcher Aaron G.L. · CIK 0001789490 · 10% owner BIOS Fund I, LP · CIK 0001697316 · 10% owner BIOS Fund I QP, LP · CIK 0001700297 · 10% owner BIOS Fund II, LP · CIK 0001714576 · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · 10% owner Bios Equity Partners, LP · CIK 0001813314 · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · 10% owner BIOS Capital Management, LP · CIK 0001813845 · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Bios Fund II NT, LP Disclosed balance after: 71,774 F1 · ownership.nature: 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. F2 · ownership.nature: 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. Bios F3 · ownership.nature: 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. Read SEC document |
| November 08, 2022 Filed Nov 10, 2022 02:37 UTC |
Fletcher Aaron G.L.10% owner
BIOS Fund I, LP10% owner
BIOS Fund I QP, LP10% owner
BIOS Fund II, LP10% owner
BIOS Fund II QP, LP10% owner
BIOS Fund II NT, LP10% owner
Bios Equity Partners, LP10% owner
Bios Equity Partners II, LP10% owner
BIOS Capital Management, LP10% owner
BIOS Advisors GP, LLC10% owner
|
SaleCommon Stock | 100,380 | $4.40 | $441,672.00 |
DisclosureSEC source: 0001104659-22-116666 · tm2230197-1_4seq1.xml · nonDerivative · entry 2 Fletcher Aaron G.L. · CIK 0001789490 · 10% owner BIOS Fund I, LP · CIK 0001697316 · 10% owner BIOS Fund I QP, LP · CIK 0001700297 · 10% owner BIOS Fund II, LP · CIK 0001714576 · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · 10% owner Bios Equity Partners, LP · CIK 0001813314 · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · 10% owner BIOS Capital Management, LP · CIK 0001813845 · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Bios Fund I, LP Disclosed balance after: 463,658 F1 · ownership.nature: 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. F2 · ownership.nature: 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. Bios F3 · ownership.nature: 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. Read SEC document |
| November 08, 2022 Filed Nov 10, 2022 02:37 UTC |
Fletcher Aaron G.L.10% owner
BIOS Fund I, LP10% owner
BIOS Fund I QP, LP10% owner
BIOS Fund II, LP10% owner
BIOS Fund II QP, LP10% owner
BIOS Fund II NT, LP10% owner
Bios Equity Partners, LP10% owner
Bios Equity Partners II, LP10% owner
BIOS Capital Management, LP10% owner
BIOS Advisors GP, LLC10% owner
|
SaleCommon Stock | 58,711 | $4.40 | $258,328.40 |
DisclosureSEC source: 0001104659-22-116666 · tm2230197-1_4seq1.xml · nonDerivative · entry 1 Fletcher Aaron G.L. · CIK 0001789490 · 10% owner BIOS Fund I, LP · CIK 0001697316 · 10% owner BIOS Fund I QP, LP · CIK 0001700297 · 10% owner BIOS Fund II, LP · CIK 0001714576 · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · 10% owner Bios Equity Partners, LP · CIK 0001813314 · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · 10% owner BIOS Capital Management, LP · CIK 0001813845 · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Bios Fund I QP, LP Disclosed balance after: 271,193 F1 · ownership.nature: 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. F2 · ownership.nature: 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. Bios F3 · ownership.nature: 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. Read SEC document |
| November 08, 2022 Filed Nov 9, 2022 21:39 UTC |
Kreis Leslie W.10% owner
Cavu Management, LP10% owner
Cavu Advisors, LLC10% owner
BP Directors, LP10% owner
|
SaleCommon Stock | 40,586 | $4.40 | $178,578.40 |
DisclosureSEC source: 0001104659-22-116667 · tm2230197-2_4seq1.xml · nonDerivative · entry 5 Kreis Leslie W. · CIK 0001813316 · 10% owner Cavu Management, LP · CIK 0001813270 · 10% owner Cavu Advisors, LLC · CIK 0001813310 · 10% owner BP Directors, LP · CIK 0001813311 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Bios Fund II, LP Disclosed balance after: 164,137 F1 · ownership.nature: 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. F2 · ownership.nature: 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. Bios F3 · ownership.nature: 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. Read SEC document |
| November 08, 2022 Filed Nov 9, 2022 21:39 UTC |
Kreis Leslie W.10% owner
Cavu Management, LP10% owner
Cavu Advisors, LLC10% owner
BP Directors, LP10% owner
|
SaleCommon Stock | 132,575 | $4.40 | $583,330.00 |
DisclosureSEC source: 0001104659-22-116667 · tm2230197-2_4seq1.xml · nonDerivative · entry 4 Kreis Leslie W. · CIK 0001813316 · 10% owner Cavu Management, LP · CIK 0001813270 · 10% owner Cavu Advisors, LLC · CIK 0001813310 · 10% owner BP Directors, LP · CIK 0001813311 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Bios Fund II QP, LP Disclosed balance after: 536,163 F1 · ownership.nature: 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. F2 · ownership.nature: 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. Bios F3 · ownership.nature: 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. Read SEC document |
| November 08, 2022 Filed Nov 9, 2022 21:39 UTC |
Kreis Leslie W.10% owner
Cavu Management, LP10% owner
Cavu Advisors, LLC10% owner
BP Directors, LP10% owner
|
SaleCommon Stock | 17,748 | $4.40 | $78,091.20 |
DisclosureSEC source: 0001104659-22-116667 · tm2230197-2_4seq1.xml · nonDerivative · entry 3 Kreis Leslie W. · CIK 0001813316 · 10% owner Cavu Management, LP · CIK 0001813270 · 10% owner Cavu Advisors, LLC · CIK 0001813310 · 10% owner BP Directors, LP · CIK 0001813311 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Bios Fund II NT, LP Disclosed balance after: 71,774 F1 · ownership.nature: 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. F2 · ownership.nature: 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. Bios F3 · ownership.nature: 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. Read SEC document |
| November 08, 2022 Filed Nov 9, 2022 21:39 UTC |
Kreis Leslie W.10% owner
Cavu Management, LP10% owner
Cavu Advisors, LLC10% owner
BP Directors, LP10% owner
|
SaleCommon Stock | 100,380 | $4.40 | $441,672.00 |
DisclosureSEC source: 0001104659-22-116667 · tm2230197-2_4seq1.xml · nonDerivative · entry 2 Kreis Leslie W. · CIK 0001813316 · 10% owner Cavu Management, LP · CIK 0001813270 · 10% owner Cavu Advisors, LLC · CIK 0001813310 · 10% owner BP Directors, LP · CIK 0001813311 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Bios Fund I, LP Disclosed balance after: 463,658 F1 · ownership.nature: 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. F2 · ownership.nature: 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. Bios F3 · ownership.nature: 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. Read SEC document |
| November 08, 2022 Filed Nov 9, 2022 21:39 UTC |
Kreis Leslie W.10% owner
Cavu Management, LP10% owner
Cavu Advisors, LLC10% owner
BP Directors, LP10% owner
|
SaleCommon Stock | 58,711 | $4.40 | $258,328.40 |
DisclosureSEC source: 0001104659-22-116667 · tm2230197-2_4seq1.xml · nonDerivative · entry 1 Kreis Leslie W. · CIK 0001813316 · 10% owner Cavu Management, LP · CIK 0001813270 · 10% owner Cavu Advisors, LLC · CIK 0001813310 · 10% owner BP Directors, LP · CIK 0001813311 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Bios Fund I QP, LP Disclosed balance after: 271,193 F1 · ownership.nature: 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. F2 · ownership.nature: 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. Bios F3 · ownership.nature: 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. Read SEC document |
| October 20, 2022 Filed Oct 24, 2022 21:57 UTC |
Maccecchini Maria-LuisaDirector
|
GrantStock Option (Right to Buy) · Derivative | 3,200 | $0.00 Strike: $4.79 | $0.00 |
DisclosureSEC source: 0001493152-22-029456 · ownership.xml · derivative · entry 1 Maccecchini Maria-Luisa · CIK 0001315018 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,200 Underlying: Common Stock · 3,200 shares Expires 2032-10-19 F1 · derivative.exercise_date: The Option is granted under the Lantern Pharma Inc. Amended and Restated 2018 Stock Incentive Plan. 356 shares of the Option vested on the day of grant, with the remaining Option shares to vest in equal monthly installments commencing November 8, 2022 with last vesting on June 8, 2025. Read SEC document |
| September 02, 2022 Filed Sep 7, 2022 20:55 UTC |
Fletcher Aaron G.L.10% owner
BIOS Fund I, LP10% owner
BIOS Fund I QP, LP10% owner
BIOS Fund II, LP10% owner
BIOS Fund II QP, LP10% owner
BIOS Fund II NT, LP10% owner
Bios Equity Partners, LP10% owner
Bios Equity Partners II, LP10% owner
BIOS Capital Management, LP10% owner
BIOS Advisors GP, LLC10% owner
|
OtherStock Option · Derivative | 6,438 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0001104659-22-098246 · tm2225390-2_4seq1.xml · derivative · entry 11 Fletcher Aaron G.L. · CIK 0001789490 · 10% owner BIOS Fund I, LP · CIK 0001697316 · 10% owner BIOS Fund I QP, LP · CIK 0001700297 · 10% owner BIOS Fund II, LP · CIK 0001714576 · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · 10% owner Bios Equity Partners, LP · CIK 0001813314 · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · 10% owner BIOS Capital Management, LP · CIK 0001813845 · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BP Directors, LP Disclosed balance after: 0 Underlying: Common Stock · 6,438 shares Expires 2028-12-16 F3 · ownership.direct: 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. F4 · ownership.direct: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| September 02, 2022 Filed Sep 7, 2022 20:55 UTC |
Fletcher Aaron G.L.10% owner
BIOS Fund I, LP10% owner
BIOS Fund I QP, LP10% owner
BIOS Fund II, LP10% owner
BIOS Fund II QP, LP10% owner
BIOS Fund II NT, LP10% owner
Bios Equity Partners, LP10% owner
Bios Equity Partners II, LP10% owner
BIOS Capital Management, LP10% owner
BIOS Advisors GP, LLC10% owner
|
OtherStock Option · Derivative | 26,100 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0001104659-22-098246 · tm2225390-2_4seq1.xml · derivative · entry 10 Fletcher Aaron G.L. · CIK 0001789490 · 10% owner BIOS Fund I, LP · CIK 0001697316 · 10% owner BIOS Fund I QP, LP · CIK 0001700297 · 10% owner BIOS Fund II, LP · CIK 0001714576 · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · 10% owner Bios Equity Partners, LP · CIK 0001813314 · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · 10% owner BIOS Capital Management, LP · CIK 0001813845 · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BP Directors, LP Disclosed balance after: 6,438 Underlying: Common Stock · 26,100 shares Expires 2028-12-16 F3 · ownership.direct: 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. F4 · ownership.direct: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| September 02, 2022 Filed Sep 7, 2022 20:55 UTC |
Fletcher Aaron G.L.10% owner
BIOS Fund I, LP10% owner
BIOS Fund I QP, LP10% owner
BIOS Fund II, LP10% owner
BIOS Fund II QP, LP10% owner
BIOS Fund II NT, LP10% owner
Bios Equity Partners, LP10% owner
Bios Equity Partners II, LP10% owner
BIOS Capital Management, LP10% owner
BIOS Advisors GP, LLC10% owner
|
SaleCommon Stock | 1,275 | $5.20 | $6,630.00 |
DisclosureSEC source: 0001104659-22-098246 · tm2225390-2_4seq1.xml · nonDerivative · entry 4 Fletcher Aaron G.L. · CIK 0001789490 · 10% owner BIOS Fund I, LP · CIK 0001697316 · 10% owner BIOS Fund I QP, LP · CIK 0001700297 · 10% owner BIOS Fund II, LP · CIK 0001714576 · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · 10% owner Bios Equity Partners, LP · CIK 0001813314 · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · 10% owner BIOS Capital Management, LP · CIK 0001813845 · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BP Directors, LP Disclosed balance after: 26,093 F2 · kind: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| September 02, 2022 Filed Sep 7, 2022 20:55 UTC |
Fletcher Aaron G.L.10% owner
BIOS Fund I, LP10% owner
BIOS Fund I QP, LP10% owner
BIOS Fund II, LP10% owner
BIOS Fund II QP, LP10% owner
BIOS Fund II NT, LP10% owner
Bios Equity Partners, LP10% owner
Bios Equity Partners II, LP10% owner
BIOS Capital Management, LP10% owner
BIOS Advisors GP, LLC10% owner
|
OtherCommon Stock | 6,438 | $1.03 | $6,631.14 |
DisclosureSEC source: 0001104659-22-098246 · tm2225390-2_4seq1.xml · nonDerivative · entry 3 Fletcher Aaron G.L. · CIK 0001789490 · 10% owner BIOS Fund I, LP · CIK 0001697316 · 10% owner BIOS Fund I QP, LP · CIK 0001700297 · 10% owner BIOS Fund II, LP · CIK 0001714576 · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · 10% owner Bios Equity Partners, LP · CIK 0001813314 · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · 10% owner BIOS Capital Management, LP · CIK 0001813845 · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BP Directors, LP Disclosed balance after: 27,328 F3 · ownership.nature: 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| September 02, 2022 Filed Sep 7, 2022 20:55 UTC |
Fletcher Aaron G.L.10% owner
BIOS Fund I, LP10% owner
BIOS Fund I QP, LP10% owner
BIOS Fund II, LP10% owner
BIOS Fund II QP, LP10% owner
BIOS Fund II NT, LP10% owner
Bios Equity Partners, LP10% owner
Bios Equity Partners II, LP10% owner
BIOS Capital Management, LP10% owner
BIOS Advisors GP, LLC10% owner
|
SaleCommon Stock | 5,170 | $5.20 | $26,884.00 |
DisclosureSEC source: 0001104659-22-098246 · tm2225390-2_4seq1.xml · nonDerivative · entry 2 Fletcher Aaron G.L. · CIK 0001789490 · 10% owner BIOS Fund I, LP · CIK 0001697316 · 10% owner BIOS Fund I QP, LP · CIK 0001700297 · 10% owner BIOS Fund II, LP · CIK 0001714576 · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · 10% owner Bios Equity Partners, LP · CIK 0001813314 · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · 10% owner BIOS Capital Management, LP · CIK 0001813845 · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BP Directors, LP Disclosed balance after: 20,930 F1 · kind: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| September 02, 2022 Filed Sep 7, 2022 20:55 UTC |
Fletcher Aaron G.L.10% owner
BIOS Fund I, LP10% owner
BIOS Fund I QP, LP10% owner
BIOS Fund II, LP10% owner
BIOS Fund II QP, LP10% owner
BIOS Fund II NT, LP10% owner
Bios Equity Partners, LP10% owner
Bios Equity Partners II, LP10% owner
BIOS Capital Management, LP10% owner
BIOS Advisors GP, LLC10% owner
|
OtherCommon Stock | 26,100 | $1.03 | $26,883.00 |
DisclosureSEC source: 0001104659-22-098246 · tm2225390-2_4seq1.xml · nonDerivative · entry 1 Fletcher Aaron G.L. · CIK 0001789490 · 10% owner BIOS Fund I, LP · CIK 0001697316 · 10% owner BIOS Fund I QP, LP · CIK 0001700297 · 10% owner BIOS Fund II, LP · CIK 0001714576 · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · 10% owner Bios Equity Partners, LP · CIK 0001813314 · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · 10% owner BIOS Capital Management, LP · CIK 0001813845 · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BP Directors, LP Disclosed balance after: 26,100 F3 · ownership.nature: 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| September 02, 2022 Filed Sep 7, 2022 16:54 UTC |
Kreis Leslie W.10% owner
Cavu Management, LP10% owner
Cavu Advisors, LLC10% owner
BP Directors, LP10% owner
|
OtherStock Option · Derivative | 6,438 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0001104659-22-098245 · tm2225390-1_4seq1.xml · derivative · entry 11 Kreis Leslie W. · CIK 0001813316 · 10% owner Cavu Management, LP · CIK 0001813270 · 10% owner Cavu Advisors, LLC · CIK 0001813310 · 10% owner BP Directors, LP · CIK 0001813311 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BP Directors,LP Disclosed balance after: 0 Underlying: Common Stock · 6,438 shares Expires 2028-12-16 F3 · ownership.direct: 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. F4 · ownership.direct: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| September 02, 2022 Filed Sep 7, 2022 16:54 UTC |
Kreis Leslie W.10% owner
Cavu Management, LP10% owner
Cavu Advisors, LLC10% owner
BP Directors, LP10% owner
|
OtherStock Option · Derivative | 26,100 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0001104659-22-098245 · tm2225390-1_4seq1.xml · derivative · entry 10 Kreis Leslie W. · CIK 0001813316 · 10% owner Cavu Management, LP · CIK 0001813270 · 10% owner Cavu Advisors, LLC · CIK 0001813310 · 10% owner BP Directors, LP · CIK 0001813311 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BP Directors,LP Disclosed balance after: 6,438 Underlying: Common Stock · 26,100 shares Expires 2028-12-16 F3 · ownership.direct: 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. F4 · ownership.direct: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| September 02, 2022 Filed Sep 7, 2022 16:54 UTC |
Kreis Leslie W.10% owner
Cavu Management, LP10% owner
Cavu Advisors, LLC10% owner
BP Directors, LP10% owner
|
SaleCommon Stock | 1,275 | $5.20 | $6,630.00 |
DisclosureSEC source: 0001104659-22-098245 · tm2225390-1_4seq1.xml · nonDerivative · entry 4 Kreis Leslie W. · CIK 0001813316 · 10% owner Cavu Management, LP · CIK 0001813270 · 10% owner Cavu Advisors, LLC · CIK 0001813310 · 10% owner BP Directors, LP · CIK 0001813311 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BP Directors,LP Disclosed balance after: 26,093 F2 · kind: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| September 02, 2022 Filed Sep 7, 2022 16:54 UTC |
Kreis Leslie W.10% owner
Cavu Management, LP10% owner
Cavu Advisors, LLC10% owner
BP Directors, LP10% owner
|
OtherCommon Stock | 6,438 | $1.03 | $6,631.14 |
DisclosureSEC source: 0001104659-22-098245 · tm2225390-1_4seq1.xml · nonDerivative · entry 3 Kreis Leslie W. · CIK 0001813316 · 10% owner Cavu Management, LP · CIK 0001813270 · 10% owner Cavu Advisors, LLC · CIK 0001813310 · 10% owner BP Directors, LP · CIK 0001813311 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BP Directors,LP Disclosed balance after: 27,328 F3 · ownership.nature: 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| September 02, 2022 Filed Sep 7, 2022 16:54 UTC |
Kreis Leslie W.10% owner
Cavu Management, LP10% owner
Cavu Advisors, LLC10% owner
BP Directors, LP10% owner
|
SaleCommon Stock | 5,170 | $5.20 | $26,884.00 |
DisclosureSEC source: 0001104659-22-098245 · tm2225390-1_4seq1.xml · nonDerivative · entry 2 Kreis Leslie W. · CIK 0001813316 · 10% owner Cavu Management, LP · CIK 0001813270 · 10% owner Cavu Advisors, LLC · CIK 0001813310 · 10% owner BP Directors, LP · CIK 0001813311 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BP Directors,LP Disclosed balance after: 20,930 F1 · kind: 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. F3 · ownership.nature: 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| September 02, 2022 Filed Sep 7, 2022 16:54 UTC |
Kreis Leslie W.10% owner
Cavu Management, LP10% owner
Cavu Advisors, LLC10% owner
BP Directors, LP10% owner
|
OtherCommon Stock | 26,100 | $1.03 | $26,883.00 |
DisclosureSEC source: 0001104659-22-098245 · tm2225390-1_4seq1.xml · nonDerivative · entry 1 Kreis Leslie W. · CIK 0001813316 · 10% owner Cavu Management, LP · CIK 0001813270 · 10% owner Cavu Advisors, LLC · CIK 0001813310 · 10% owner BP Directors, LP · CIK 0001813311 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BP Directors,LP Disclosed balance after: 26,100 F3 · ownership.nature: 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| August 06, 2022 Filed Aug 9, 2022 16:26 UTC |
SHARMA PANNADirector · President and CEO
|
GrantStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $5.60 | $0.00 |
DisclosureSEC source: 0001213900-22-045909 · ownership.xml · derivative · entry 1 SHARMA PANNA · CIK 0001157989 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2032-08-06 F1 · derivative.exercise_date: The Options are granted under the Lantern Pharma Inc. Amended and Restated 2018 Stock Incentive Plan. The Options will vest and first become exercisable in equal monthly increments over a 36-month period commencing September 8, 2022, with the vesting of the options to accelerate in the event the closing price for our common stock is at least $15.00 per share. Read SEC document |
| March 17, 2022 Filed Mar 21, 2022 22:11 UTC |
Kreis Leslie W.Director · 10% owner
Bios Equity Partners, LP10% owner
Cavu Management, LP10% owner
BIOS Capital Management, LP10% owner
Cavu Advisors, LLC10% owner
BIOS Advisors GP, LLC10% owner
Fletcher Aaron G.L.10% owner
BIOS Fund I, LP10% owner
BIOS Fund I QP, LP10% owner
|
OtherSeries A Warrants · Derivative | 35,347 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001813316-22-000001 · primary_doc.xml · derivative · entry 7 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner Bios Equity Partners, LP · CIK 0001813314 · 10% owner Cavu Management, LP · CIK 0001813270 · 10% owner BIOS Capital Management, LP · CIK 0001813845 · 10% owner Cavu Advisors, LLC · CIK 0001813310 · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · 10% owner Fletcher Aaron G.L. · CIK 0001789490 · 10% owner BIOS Fund I, LP · CIK 0001697316 · 10% owner BIOS Fund I QP, LP · CIK 0001700297 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Bios Fund I QP, LP Disclosed balance after: 0 Underlying: Common Stock · 35,347 shares Expires 2022-03-17 F4 · derivative.exercise_price: Bios Fund I QP exercised warrants to purchase 35,347 shares of common stock at an exercise price of $3.13 per share. F1 · shares: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I") and Bios Fund I QP, LP ("Bios Fund I QP"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP") and Bios Fund II NT, LP ("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. F2 · shares: 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 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. F4 · shares: Bios Fund I QP exercised warrants to purchase 35,347 shares of common stock at an exercise price of $3.13 per share. F4 · price: Bios Fund I QP exercised warrants to purchase 35,347 shares of common stock at an exercise price of $3.13 per share. F1 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I") and Bios Fund I QP, LP ("Bios Fund I QP"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP") and Bios Fund II NT, LP ("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. F2 · ownership.nature: 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 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. F5 · ownership.nature: 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. Read SEC document |
| March 17, 2022 Filed Mar 21, 2022 22:11 UTC |
Kreis Leslie W.Director · 10% owner
Bios Equity Partners, LP10% owner
Cavu Management, LP10% owner
BIOS Capital Management, LP10% owner
Cavu Advisors, LLC10% owner
BIOS Advisors GP, LLC10% owner
Fletcher Aaron G.L.10% owner
BIOS Fund I, LP10% owner
BIOS Fund I QP, LP10% owner
|
OtherSeries A Warrants · Derivative | 60,432 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001813316-22-000001 · primary_doc.xml · derivative · entry 6 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner Bios Equity Partners, LP · CIK 0001813314 · 10% owner Cavu Management, LP · CIK 0001813270 · 10% owner BIOS Capital Management, LP · CIK 0001813845 · 10% owner Cavu Advisors, LLC · CIK 0001813310 · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · 10% owner Fletcher Aaron G.L. · CIK 0001789490 · 10% owner BIOS Fund I, LP · CIK 0001697316 · 10% owner BIOS Fund I QP, LP · CIK 0001700297 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Bios Fund I, LP Disclosed balance after: 0 Underlying: Common Stock · 60,432 shares Expires 2022-03-17 F3 · derivative.exercise_price: Bios Fund I exercised warrants to purchase 60,432 shares of common stock at an exercise price of $3.13 per share. F1 · shares: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I") and Bios Fund I QP, LP ("Bios Fund I QP"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP") and Bios Fund II NT, LP ("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. F2 · shares: 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 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. F3 · shares: Bios Fund I exercised warrants to purchase 60,432 shares of common stock at an exercise price of $3.13 per share. F3 · price: Bios Fund I exercised warrants to purchase 60,432 shares of common stock at an exercise price of $3.13 per share. F1 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I") and Bios Fund I QP, LP ("Bios Fund I QP"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP") and Bios Fund II NT, LP ("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. F2 · ownership.nature: 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 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. F5 · ownership.nature: 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. Read SEC document |
| March 17, 2022 Filed Mar 21, 2022 22:11 UTC |
Kreis Leslie W.Director · 10% owner
Bios Equity Partners, LP10% owner
Cavu Management, LP10% owner
BIOS Capital Management, LP10% owner
Cavu Advisors, LLC10% owner
BIOS Advisors GP, LLC10% owner
Fletcher Aaron G.L.10% owner
BIOS Fund I, LP10% owner
BIOS Fund I QP, LP10% owner
|
OtherCommon Stock | 35,347 | $110,636.11 | $3,910,654,580.17 |
DisclosureSEC source: 0001813316-22-000001 · primary_doc.xml · nonDerivative · entry 2 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner Bios Equity Partners, LP · CIK 0001813314 · 10% owner Cavu Management, LP · CIK 0001813270 · 10% owner BIOS Capital Management, LP · CIK 0001813845 · 10% owner Cavu Advisors, LLC · CIK 0001813310 · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · 10% owner Fletcher Aaron G.L. · CIK 0001789490 · 10% owner BIOS Fund I, LP · CIK 0001697316 · 10% owner BIOS Fund I QP, LP · CIK 0001700297 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Bios Fund I QP, LP Disclosed balance after: 329,904 F1 · kind: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I") and Bios Fund I QP, LP ("Bios Fund I QP"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP") and Bios Fund II NT, LP ("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. F2 · kind: 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 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. F4 · kind: Bios Fund I QP exercised warrants to purchase 35,347 shares of common stock at an exercise price of $3.13 per share. F1 · shares: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I") and Bios Fund I QP, LP ("Bios Fund I QP"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP") and Bios Fund II NT, LP ("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. F2 · shares: 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 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. F4 · shares: Bios Fund I QP exercised warrants to purchase 35,347 shares of common stock at an exercise price of $3.13 per share. F1 · price: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I") and Bios Fund I QP, LP ("Bios Fund I QP"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP") and Bios Fund II NT, LP ("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. F2 · price: 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 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. F4 · price: Bios Fund I QP exercised warrants to purchase 35,347 shares of common stock at an exercise price of $3.13 per share. F1 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I") and Bios Fund I QP, LP ("Bios Fund I QP"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP") and Bios Fund II NT, LP ("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. F2 · ownership.nature: 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 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. F5 · ownership.nature: 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. Read SEC document |
| March 17, 2022 Filed Mar 21, 2022 22:11 UTC |
Kreis Leslie W.Director · 10% owner
Bios Equity Partners, LP10% owner
Cavu Management, LP10% owner
BIOS Capital Management, LP10% owner
Cavu Advisors, LLC10% owner
BIOS Advisors GP, LLC10% owner
Fletcher Aaron G.L.10% owner
BIOS Fund I, LP10% owner
BIOS Fund I QP, LP10% owner
|
OtherCommon Stock | 60,432 | $189,152.16 | $11,430,843,333.12 |
DisclosureSEC source: 0001813316-22-000001 · primary_doc.xml · nonDerivative · entry 1 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner Bios Equity Partners, LP · CIK 0001813314 · 10% owner Cavu Management, LP · CIK 0001813270 · 10% owner BIOS Capital Management, LP · CIK 0001813845 · 10% owner Cavu Advisors, LLC · CIK 0001813310 · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · 10% owner Fletcher Aaron G.L. · CIK 0001789490 · 10% owner BIOS Fund I, LP · CIK 0001697316 · 10% owner BIOS Fund I QP, LP · CIK 0001700297 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Bios Fund I, LP Disclosed balance after: 564,038 F1 · kind: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I") and Bios Fund I QP, LP ("Bios Fund I QP"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP") and Bios Fund II NT, LP ("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. F2 · kind: 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 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. F3 · kind: Bios Fund I exercised warrants to purchase 60,432 shares of common stock at an exercise price of $3.13 per share. F1 · shares: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I") and Bios Fund I QP, LP ("Bios Fund I QP"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP") and Bios Fund II NT, LP ("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. F2 · shares: 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 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. F3 · shares: Bios Fund I exercised warrants to purchase 60,432 shares of common stock at an exercise price of $3.13 per share. F1 · price: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I") and Bios Fund I QP, LP ("Bios Fund I QP"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP") and Bios Fund II NT, LP ("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. F2 · price: 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 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. F3 · price: Bios Fund I exercised warrants to purchase 60,432 shares of common stock at an exercise price of $3.13 per share. F1 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I") and Bios Fund I QP, LP ("Bios Fund I QP"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP") and Bios Fund II NT, LP ("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. F2 · ownership.nature: 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 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. F5 · ownership.nature: 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. Read SEC document |
| November 04, 2021 Filed Nov 8, 2021 22:23 UTC |
Kreis Leslie W.Director · 10% owner
BP Directors, LP10% owner
Bios Equity Partners, LP10% owner
Cavu Management, LP10% owner
BIOS Capital Management, LP10% owner
Cavu Advisors, LLC10% owner
BIOS Advisors GP, LLC10% owner
Fletcher Aaron G.L.10% owner
|
GrantStock Option · Derivative | 3,200 | $0.00 Strike: $10.32 | $0.00 |
DisclosureSEC source: 0001813316-21-000002 · primary_doc.xml · derivative · entry 6 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner BP Directors, LP · CIK 0001813311 · 10% owner Bios Equity Partners, LP · CIK 0001813314 · 10% owner Cavu Management, LP · CIK 0001813270 · 10% owner BIOS Capital Management, LP · CIK 0001813845 · 10% owner Cavu Advisors, LLC · CIK 0001813310 · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · 10% owner Fletcher Aaron G.L. · CIK 0001789490 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BP Directors, LP Disclosed balance after: 3,200 Underlying: Common Stock · 3,200 shares Expires 2031-11-04 F3 · derivative.exercise_date: In consideration of Mr. Kreis' service as a director of the Issuer, Bios Directors was granted options to purchase 3,200 shares of the Issuer's common stock at the exercise price of $10.32 per share. The options granted will vest in equal monthly increments over a 36 month period commencing on December 4, 2021. Under the Issuer's Amended and Restated 2018 Equity Incentive Plan, the options may not be exercised after the tenth anniversary of the grant date. F3 · ownership.direct: In consideration of Mr. Kreis' service as a director of the Issuer, Bios Directors was granted options to purchase 3,200 shares of the Issuer's common stock at the exercise price of $10.32 per share. The options granted will vest in equal monthly increments over a 36 month period commencing on December 4, 2021. Under the Issuer's Amended and Restated 2018 Equity Incentive Plan, the options may not be exercised after the tenth anniversary of the grant date. F4 · ownership.direct: 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. F1 · ownership.nature: 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. F2 · ownership.nature: 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. F4 · ownership.nature: 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. Read SEC document |
| November 04, 2021 Filed Nov 8, 2021 16:05 UTC |
Chandru VijayDirector
|
GrantStock Option (Right to Buy) · Derivative | 3,200 | $0.00 Strike: $10.32 | $0.00 |
DisclosureSEC source: 0001213900-21-057324 · ownership.xml · derivative · entry 1 Chandru Vijay · CIK 0001813367 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,200 Underlying: Common Stock · 3,200 shares Expires 2031-11-04 F1 · derivative.exercise_date: The Options are granted under the Lantern Pharma Inc. Amended and Restated 2018 Stock Incentive Plan. The Options shall vest and first become exercisable in equal monthly increments over a 36-month period commencing upon December 4, 2021. Read SEC document |
| November 04, 2021 Filed Nov 8, 2021 16:05 UTC |
Silberstein David S.Director
|
GrantStock Option (Right to Buy) · Derivative | 3,200 | $0.00 Strike: $10.32 | $0.00 |
DisclosureSEC source: 0001213900-21-057326 · ownership.xml · derivative · entry 1 Silberstein David S. · CIK 0001812659 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,200 Underlying: Common Stock · 3,200 shares Expires 2031-11-04 F1 · derivative.exercise_date: The Options are granted under the Lantern Pharma Inc. Amended and Restated 2018 Stock Incentive Plan. The Options shall vest and first become exercisable in equal monthly increments over a 36-month period commencing upon December 4, 2021. Read SEC document |
| November 04, 2021 Filed Nov 8, 2021 21:05 UTC |
PRENDERGAST FRANKLYN GDirector
|
GrantStock Option (Right to Buy) · Derivative | 3,200 | $0.00 Strike: $10.32 | $0.00 |
DisclosureSEC source: 0001213900-21-057327 · ownership.xml · derivative · entry 1 PRENDERGAST FRANKLYN G · CIK 0001233256 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,200 Underlying: Common Stock · 3,200 shares Expires 2031-11-04 F1 · derivative.exercise_date: The Options are granted under the Lantern Pharma Inc. Amended and Restated 2018 Stock Incentive Plan. The Options shall vest and first become exercisable in equal monthly increments over a 36-month period commencing upon December 4, 2021. Read SEC document |
| November 04, 2021 Filed Nov 8, 2021 21:05 UTC |
KEYSER D JEFFREYDirector
|
GrantStock Option (Right to Buy) · Derivative | 3,200 | $0.00 Strike: $10.32 | $0.00 |
DisclosureSEC source: 0001213900-21-057325 · ownership.xml · derivative · entry 1 KEYSER D JEFFREY · CIK 0001393516 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,200 Underlying: Common Stock · 3,200 shares Expires 2031-11-04 F1 · derivative.exercise_date: The Options are granted under the Lantern Pharma Inc. Amended and Restated 2018 Stock Incentive Plan. The Options shall vest and first become exercisable in equal monthly increments over a 36-month period commencing upon December 4, 2021. Read SEC document |
| November 04, 2021 Filed Sep 23, 2025 16:05 UTC |
Chandru VijayDirector
|
GrantStock Option (Right to Buy) · Derivative | 3,200 | $0.00 Strike: $5.04 | $0.00 |
DisclosureSEC source: 0001493152-25-014617 · ownership.xml · derivative · entry 4 Chandru Vijay · CIK 0001813367 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,200 Underlying: Common Stock · 3,200 shares Expires 2031-11-03 F2 · kind: The two reported transactions involve an amendment of an outstanding option for purposes of reducing the option exercise price, resulting in the cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 4, 2021 and provides for vesting in equal monthly increments over a 36-month period commencing December 4, 2021. F2 · derivative.exercise_date: The two reported transactions involve an amendment of an outstanding option for purposes of reducing the option exercise price, resulting in the cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 4, 2021 and provides for vesting in equal monthly increments over a 36-month period commencing December 4, 2021. Read SEC document |
| November 04, 2021 Filed Sep 23, 2025 16:05 UTC |
Chandru VijayDirector
|
Disposition to issuerStock Option (Right to Buy) · Derivative | 3,200 | $0.00 Strike: $10.32 | $0.00 |
DisclosureSEC source: 0001493152-25-014617 · ownership.xml · derivative · entry 3 Chandru Vijay · CIK 0001813367 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,200 shares Expires 2031-11-03 F2 · kind: The two reported transactions involve an amendment of an outstanding option for purposes of reducing the option exercise price, resulting in the cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 4, 2021 and provides for vesting in equal monthly increments over a 36-month period commencing December 4, 2021. F2 · derivative.exercise_date: The two reported transactions involve an amendment of an outstanding option for purposes of reducing the option exercise price, resulting in the cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 4, 2021 and provides for vesting in equal monthly increments over a 36-month period commencing December 4, 2021. Read SEC document |
| November 04, 2021 Filed Sep 23, 2025 16:05 UTC |
Silberstein David S.Director
|
GrantStock Option (Right to Buy) · Derivative | 3,200 | $0.00 Strike: $5.04 | $0.00 |
DisclosureSEC source: 0001493152-25-014611 · ownership.xml · derivative · entry 4 Silberstein David S. · CIK 0001812659 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,200 Underlying: Common Stock · 3,200 shares Expires 2031-11-03 F2 · kind: The two reported transactions involve an amendment of an outstanding option for purposes of reducing the option exercise price, resulting in the cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 4, 2021 and provides for vesting in equal monthly increments over a 36-month period commencing December 4, 2021. F2 · derivative.exercise_date: The two reported transactions involve an amendment of an outstanding option for purposes of reducing the option exercise price, resulting in the cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 4, 2021 and provides for vesting in equal monthly increments over a 36-month period commencing December 4, 2021. Read SEC document |
| November 04, 2021 Filed Sep 23, 2025 16:05 UTC |
Silberstein David S.Director
|
Disposition to issuerStock Option (Right to Buy) · Derivative | 3,200 | $0.00 Strike: $10.32 | $0.00 |
DisclosureSEC source: 0001493152-25-014611 · ownership.xml · derivative · entry 3 Silberstein David S. · CIK 0001812659 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,200 shares Expires 2031-11-03 F2 · kind: The two reported transactions involve an amendment of an outstanding option for purposes of reducing the option exercise price, resulting in the cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 4, 2021 and provides for vesting in equal monthly increments over a 36-month period commencing December 4, 2021. F2 · derivative.exercise_date: The two reported transactions involve an amendment of an outstanding option for purposes of reducing the option exercise price, resulting in the cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 4, 2021 and provides for vesting in equal monthly increments over a 36-month period commencing December 4, 2021. Read SEC document |
| November 04, 2021 Filed Sep 23, 2025 20:05 UTC |
KEYSER D JEFFREYDirector
|
GrantStock Option (Right to Buy) · Derivative | 3,200 | $0.00 Strike: $5.04 | $0.00 |
DisclosureSEC source: 0001493152-25-014614 · ownership.xml · derivative · entry 4 KEYSER D JEFFREY · CIK 0001393516 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,200 Underlying: Common Stock · 3,200 shares Expires 2031-11-03 F2 · kind: The two reported transactions involve an amendment of an outstanding option for purposes of reducing the option exercise price, resulting in the cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 4, 2021 and provides for vesting in equal monthly increments over a 36-month period commencing December 4, 2021. F2 · derivative.exercise_date: The two reported transactions involve an amendment of an outstanding option for purposes of reducing the option exercise price, resulting in the cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 4, 2021 and provides for vesting in equal monthly increments over a 36-month period commencing December 4, 2021. Read SEC document |
| November 04, 2021 Filed Sep 23, 2025 20:05 UTC |
KEYSER D JEFFREYDirector
|
Disposition to issuerStock Option (Right to Buy) · Derivative | 3,200 | $0.00 Strike: $10.32 | $0.00 |
DisclosureSEC source: 0001493152-25-014614 · ownership.xml · derivative · entry 3 KEYSER D JEFFREY · CIK 0001393516 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,200 shares Expires 2031-11-03 F2 · kind: The two reported transactions involve an amendment of an outstanding option for purposes of reducing the option exercise price, resulting in the cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 4, 2021 and provides for vesting in equal monthly increments over a 36-month period commencing December 4, 2021. F2 · derivative.exercise_date: The two reported transactions involve an amendment of an outstanding option for purposes of reducing the option exercise price, resulting in the cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 4, 2021 and provides for vesting in equal monthly increments over a 36-month period commencing December 4, 2021. Read SEC document |
| October 29, 2021 Filed Nov 2, 2021 16:05 UTC |
Margrave David R.Chief Financial Officer
|
GrantStock Option (Right to Buy) · Derivative | 26,100 | $0.00 Strike: $10.21 | $0.00 |
DisclosureSEC source: 0001213900-21-056108 · ownership.xml · derivative · entry 1 Margrave David R. · CIK 0001813162 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,100 Underlying: Common Stock · 26,100 shares Expires 2031-10-29 F1 · derivative.exercise_date: The Options are granted under the Lantern Pharma Inc. Amended and Restated 2018 Stock Incentive Plan. The Options shall vest and first become exercisable in equal monthly increments over a 36-month period commencing upon November 29, 2021. Read SEC document |
| October 29, 2021 Filed Nov 2, 2021 16:06 UTC |
Bhatia Kishor G.Chief Scientific Officer
|
GrantStock Option (Right to Buy) · Derivative | 17,400 | $0.00 Strike: $10.21 | $0.00 |
DisclosureSEC source: 0001213900-21-056109 · ownership.xml · derivative · entry 1 Bhatia Kishor G. · CIK 0001812638 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,400 Underlying: Common Stock · 17,400 shares Expires 2031-10-29 F1 · derivative.exercise_date: The Options are granted under the Lantern Pharma Inc. Amended and Restated 2018 Stock Incentive Plan. The Options shall vest and first become exercisable in equal monthly increments over a 36-month period commencing upon November 29, 2021. Read SEC document |
| October 29, 2021 Filed Sep 23, 2025 16:05 UTC |
Margrave David R.Chief Financial Officer
|
GrantStock Option (Right to Buy) · Derivative | 26,100 | $0.00 Strike: $5.04 | $0.00 |
DisclosureSEC source: 0001493152-25-014612 · ownership.xml · derivative · entry 4 Margrave David R. · CIK 0001813162 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,100 Underlying: Common Stock · 26,100 shares Expires 2031-10-28 F2 · kind: The two reported transactions involve an amendment of an outstanding option for purposes of reducing the option exercise price, resulting in the cancellation of the "old" option and the grant of a replacement option. The option was originally granted on October 29, 2021 and provides for vesting in equal monthly increments over a 36-month period commencing November 29, 2021. F2 · derivative.exercise_date: The two reported transactions involve an amendment of an outstanding option for purposes of reducing the option exercise price, resulting in the cancellation of the "old" option and the grant of a replacement option. The option was originally granted on October 29, 2021 and provides for vesting in equal monthly increments over a 36-month period commencing November 29, 2021. Read SEC document |
| October 29, 2021 Filed Sep 23, 2025 16:05 UTC |
Margrave David R.Chief Financial Officer
|
Disposition to issuerStock Option (Right to Buy) · Derivative | 26,100 | $0.00 Strike: $10.21 | $0.00 |
DisclosureSEC source: 0001493152-25-014612 · ownership.xml · derivative · entry 3 Margrave David R. · CIK 0001813162 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 26,100 shares Expires 2031-10-28 F2 · kind: The two reported transactions involve an amendment of an outstanding option for purposes of reducing the option exercise price, resulting in the cancellation of the "old" option and the grant of a replacement option. The option was originally granted on October 29, 2021 and provides for vesting in equal monthly increments over a 36-month period commencing November 29, 2021. F2 · derivative.exercise_date: The two reported transactions involve an amendment of an outstanding option for purposes of reducing the option exercise price, resulting in the cancellation of the "old" option and the grant of a replacement option. The option was originally granted on October 29, 2021 and provides for vesting in equal monthly increments over a 36-month period commencing November 29, 2021. Read SEC document |
| October 29, 2021 Filed Sep 23, 2025 16:05 UTC |
Bhatia Kishor G.Chief Scientific Officer
|
GrantStock Option (Right to Buy) · Derivative | 17,400 | $0.00 Strike: $5.04 | $0.00 |
DisclosureSEC source: 0001493152-25-014615 · ownership.xml · derivative · entry 4 Bhatia Kishor G. · CIK 0001812638 · Chief Scientific Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,400 Underlying: Common Stock · 17,400 shares Expires 2031-10-28 F2 · kind: The two reported transactions involve an amendment of an outstanding option for purposes of reducing the option exercise price, resulting in the cancellation of the "old" option and the grant of a replacement option. The option was originally granted on October 29, 2021 and provides for vesting in equal monthly increments over a 36-month period commencing November 29, 2021. F2 · derivative.exercise_date: The two reported transactions involve an amendment of an outstanding option for purposes of reducing the option exercise price, resulting in the cancellation of the "old" option and the grant of a replacement option. The option was originally granted on October 29, 2021 and provides for vesting in equal monthly increments over a 36-month period commencing November 29, 2021. Read SEC document |
| October 29, 2021 Filed Sep 23, 2025 16:05 UTC |
Bhatia Kishor G.Chief Scientific Officer
|
Disposition to issuerStock Option (Right to Buy) · Derivative | 17,400 | $0.00 Strike: $10.21 | $0.00 |
DisclosureSEC source: 0001493152-25-014615 · ownership.xml · derivative · entry 3 Bhatia Kishor G. · CIK 0001812638 · Chief Scientific Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,400 shares Expires 2031-10-28 F2 · kind: The two reported transactions involve an amendment of an outstanding option for purposes of reducing the option exercise price, resulting in the cancellation of the "old" option and the grant of a replacement option. The option was originally granted on October 29, 2021 and provides for vesting in equal monthly increments over a 36-month period commencing November 29, 2021. F2 · derivative.exercise_date: The two reported transactions involve an amendment of an outstanding option for purposes of reducing the option exercise price, resulting in the cancellation of the "old" option and the grant of a replacement option. The option was originally granted on October 29, 2021 and provides for vesting in equal monthly increments over a 36-month period commencing November 29, 2021. Read SEC document |
| June 16, 2020 Filed Jun 17, 2020 21:35 UTC |
Green Park & Golf Ventures II, LLC10% owner
GPG LPI Investment, LLC10% owner
Lantern 3-19 Investment, LLC10% owner
Health Wildcatters Fund II, LLC10% owner
Health Wildcatters, LLC10% owner
Green Park & Golf Ventures, LLC10% owner
Garcia Gilbert G. II10% owner
Heighten Clay M10% owner
Soderstrom Carl D10% owner
|
ConversionSeries A Preferred Stock, par value $0.01 · Derivative | 75,688 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-016898 · doc4.xml · derivative · entry 6 Green Park & Golf Ventures II, LLC · CIK 0001782733 · 10% owner GPG LPI Investment, LLC · CIK 0001814288 · 10% owner Lantern 3-19 Investment, LLC · CIK 0001814295 · 10% owner Health Wildcatters Fund II, LLC · CIK 0001814292 · 10% owner Health Wildcatters, LLC · CIK 0001814291 · 10% owner Green Park & Golf Ventures, LLC · CIK 0001598984 · 10% owner Garcia Gilbert G. II · CIK 0001814289 · 10% owner Heighten Clay M · CIK 0001599114 · 10% owner Soderstrom Carl D · CIK 0001598985 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 131,697 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · derivative.exercise_price: In connection with the Initial Public Offering, approximately 75,688 shares of Series A Preferred Stock directly held by Lantern 3-19, which had no expiration date, were automatically converted into 131,697 shares of Common Stock for no additional consideration immediately prior to the closing of the Initial Public Offering. F7 · price: In connection with the Initial Public Offering, approximately 75,688 shares of Series A Preferred Stock directly held by Lantern 3-19, which had no expiration date, were automatically converted into 131,697 shares of Common Stock for no additional consideration immediately prior to the closing of the Initial Public Offering. F7 · derivative.exercise_date: In connection with the Initial Public Offering, approximately 75,688 shares of Series A Preferred Stock directly held by Lantern 3-19, which had no expiration date, were automatically converted into 131,697 shares of Common Stock for no additional consideration immediately prior to the closing of the Initial Public Offering. F7 · derivative.expiration_date: In connection with the Initial Public Offering, approximately 75,688 shares of Series A Preferred Stock directly held by Lantern 3-19, which had no expiration date, were automatically converted into 131,697 shares of Common Stock for no additional consideration immediately prior to the closing of the Initial Public Offering. F4 · derivative.underlying_shares: In connection with the Issuer's initial public offering, which commenced on June 10, 2020 and closed on June 15, 2020 (the "Initial Public Offering"), the Issuer effected a 1.74-for-1 stock split on its outstanding common stock, par value $0.0001 (the "Common Stock"), which was made effective immediately prior to the closing of the Issuer's Initial Public Offering (the "Stock Split"). The share amounts set forth in this column reflect the Stock Split. F3 · ownership.nature: These securities are directly held by Lantern 3-19 Investment, LLC ("Lantern 3-19"). Carl D. Soderstrom, Clay M. Heighten, M.D., and Gilbert G. Garcia II are the managing members of Green Park & Golf Ventures II, LLC ("GPG II"), which is the managing member Lantern 3-19. Therefore, Carl D. Soderstrom, Clay M. Heighten, M.D., Gilbert G. Garcia II, and GPG II may be deemed to beneficially own these securities. Read SEC document |
| June 15, 2020 Filed Jun 15, 2020 17:34 UTC |
SHARMA PANNADirector · CEO & President
|
GrantStock Option · Derivative | 76,628 | Not disclosed Strike: $15.00 | Not disclosed |
DisclosureSEC source: 0001213900-20-015051 · ownership.xml · derivative · entry 1 SHARMA PANNA · CIK 0001157989 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,628 Underlying: Common Stock · 76,628 shares Expires not disclosed F1 · derivative.exercise_price: Pursuant to an amendment to the Reporting Person's employment agreement, the Reporting Person was granted stock options to purchase 76,628 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering ("IPO") at an exercise price per share equal to the price per share sold in the Issuer's IPO. One third of the options will vest 180 days after the closing of the Issuer's IPO (the "Grant Date"), with the remaining two thirds of the options vesting in equal monthly increments over a thirty (30) month period commencing the 181st day after the Grant Date. All other terms and conditions of the option grant will be consistent with the terms and conditions permitted under the Issuer's Amended and Restated 2018 Equity Incentive Plan. Under the Amended and Restated 2018 Equity Incentive Plan, the options may not be exercised after the tenth anniversary of the Grant Date. F1 · price: Pursuant to an amendment to the Reporting Person's employment agreement, the Reporting Person was granted stock options to purchase 76,628 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering ("IPO") at an exercise price per share equal to the price per share sold in the Issuer's IPO. One third of the options will vest 180 days after the closing of the Issuer's IPO (the "Grant Date"), with the remaining two thirds of the options vesting in equal monthly increments over a thirty (30) month period commencing the 181st day after the Grant Date. All other terms and conditions of the option grant will be consistent with the terms and conditions permitted under the Issuer's Amended and Restated 2018 Equity Incentive Plan. Under the Amended and Restated 2018 Equity Incentive Plan, the options may not be exercised after the tenth anniversary of the Grant Date. F1 · derivative.exercise_date: Pursuant to an amendment to the Reporting Person's employment agreement, the Reporting Person was granted stock options to purchase 76,628 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering ("IPO") at an exercise price per share equal to the price per share sold in the Issuer's IPO. One third of the options will vest 180 days after the closing of the Issuer's IPO (the "Grant Date"), with the remaining two thirds of the options vesting in equal monthly increments over a thirty (30) month period commencing the 181st day after the Grant Date. All other terms and conditions of the option grant will be consistent with the terms and conditions permitted under the Issuer's Amended and Restated 2018 Equity Incentive Plan. Under the Amended and Restated 2018 Equity Incentive Plan, the options may not be exercised after the tenth anniversary of the Grant Date. F1 · derivative.expiration_date: Pursuant to an amendment to the Reporting Person's employment agreement, the Reporting Person was granted stock options to purchase 76,628 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering ("IPO") at an exercise price per share equal to the price per share sold in the Issuer's IPO. One third of the options will vest 180 days after the closing of the Issuer's IPO (the "Grant Date"), with the remaining two thirds of the options vesting in equal monthly increments over a thirty (30) month period commencing the 181st day after the Grant Date. All other terms and conditions of the option grant will be consistent with the terms and conditions permitted under the Issuer's Amended and Restated 2018 Equity Incentive Plan. Under the Amended and Restated 2018 Equity Incentive Plan, the options may not be exercised after the tenth anniversary of the Grant Date. Read SEC document |
| June 15, 2020 Filed Jun 15, 2020 17:35 UTC |
Chandru VijayDirector
|
GrantStock Option · Derivative | 9,135 | Not disclosed Strike: $15.00 | Not disclosed |
DisclosureSEC source: 0001213900-20-015052 · ownership.xml · derivative · entry 1 Chandru Vijay · CIK 0001813367 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,135 Underlying: Common Stock · 9,135 shares Expires not disclosed F1 · derivative.exercise_price: The Reporting Person was granted options to purchase 9,135 shares of the Issuer's common stock at the exercise price equal to the price per share sold in the Issuer's initial public offering ("IPO"). The options granted will vest in equal monthly increments over a 36 month period commencing upon the closing of the Issuer's IPO, which is the grant date of the options. Under the Amended and Restated 2018 Equity Incentive Plan, the options may not be exercised after the tenth anniversary of the grant date. F1 · price: The Reporting Person was granted options to purchase 9,135 shares of the Issuer's common stock at the exercise price equal to the price per share sold in the Issuer's initial public offering ("IPO"). The options granted will vest in equal monthly increments over a 36 month period commencing upon the closing of the Issuer's IPO, which is the grant date of the options. Under the Amended and Restated 2018 Equity Incentive Plan, the options may not be exercised after the tenth anniversary of the grant date. F1 · derivative.exercise_date: The Reporting Person was granted options to purchase 9,135 shares of the Issuer's common stock at the exercise price equal to the price per share sold in the Issuer's initial public offering ("IPO"). The options granted will vest in equal monthly increments over a 36 month period commencing upon the closing of the Issuer's IPO, which is the grant date of the options. Under the Amended and Restated 2018 Equity Incentive Plan, the options may not be exercised after the tenth anniversary of the grant date. F1 · derivative.expiration_date: The Reporting Person was granted options to purchase 9,135 shares of the Issuer's common stock at the exercise price equal to the price per share sold in the Issuer's initial public offering ("IPO"). The options granted will vest in equal monthly increments over a 36 month period commencing upon the closing of the Issuer's IPO, which is the grant date of the options. Under the Amended and Restated 2018 Equity Incentive Plan, the options may not be exercised after the tenth anniversary of the grant date. Read SEC document |
| June 15, 2020 Filed Jun 15, 2020 17:32 UTC |
Margrave David R.CFO and Secretary
|
GrantStock Option · Derivative | 78,300 | Not disclosed Strike: $15.00 | Not disclosed |
DisclosureSEC source: 0001213900-20-015047 · ownership.xml · derivative · entry 1 Margrave David R. · CIK 0001813162 · CFO and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,300 Underlying: Common Stock · 78,300 shares Expires not disclosed F1 · derivative.exercise_price: Pursuant to the employment agreement between the Issuer and the Reporting Person as Chief Financial Officer, the Reporting Person was granted stock options to purchase 78,300 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering ("IPO") under the terms and conditions of the Issuer's Amended and Restated 2018 Equity Incentive Plan. The exercise price equals the price per share sold in the Issuer's offering. One-third of the options will vest 180 days from the closing of the Issuer's IPO (the "Grant Date"), with the remaining two-thirds of the options vesting in equal monthly increments over the period commencing the 181st day after the Grant Date and ending 30 months thereafter (or 36 months after the Grant Date). Under the Amended and Restated 2018 Equity Incentive Plan, the options may not be exercised after the tenth anniversary of the Grant Date. F1 · price: Pursuant to the employment agreement between the Issuer and the Reporting Person as Chief Financial Officer, the Reporting Person was granted stock options to purchase 78,300 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering ("IPO") under the terms and conditions of the Issuer's Amended and Restated 2018 Equity Incentive Plan. The exercise price equals the price per share sold in the Issuer's offering. One-third of the options will vest 180 days from the closing of the Issuer's IPO (the "Grant Date"), with the remaining two-thirds of the options vesting in equal monthly increments over the period commencing the 181st day after the Grant Date and ending 30 months thereafter (or 36 months after the Grant Date). Under the Amended and Restated 2018 Equity Incentive Plan, the options may not be exercised after the tenth anniversary of the Grant Date. F1 · derivative.exercise_date: Pursuant to the employment agreement between the Issuer and the Reporting Person as Chief Financial Officer, the Reporting Person was granted stock options to purchase 78,300 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering ("IPO") under the terms and conditions of the Issuer's Amended and Restated 2018 Equity Incentive Plan. The exercise price equals the price per share sold in the Issuer's offering. One-third of the options will vest 180 days from the closing of the Issuer's IPO (the "Grant Date"), with the remaining two-thirds of the options vesting in equal monthly increments over the period commencing the 181st day after the Grant Date and ending 30 months thereafter (or 36 months after the Grant Date). Under the Amended and Restated 2018 Equity Incentive Plan, the options may not be exercised after the tenth anniversary of the Grant Date. F1 · derivative.expiration_date: Pursuant to the employment agreement between the Issuer and the Reporting Person as Chief Financial Officer, the Reporting Person was granted stock options to purchase 78,300 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering ("IPO") under the terms and conditions of the Issuer's Amended and Restated 2018 Equity Incentive Plan. The exercise price equals the price per share sold in the Issuer's offering. One-third of the options will vest 180 days from the closing of the Issuer's IPO (the "Grant Date"), with the remaining two-thirds of the options vesting in equal monthly increments over the period commencing the 181st day after the Grant Date and ending 30 months thereafter (or 36 months after the Grant Date). Under the Amended and Restated 2018 Equity Incentive Plan, the options may not be exercised after the tenth anniversary of the Grant Date. Read SEC document |
| June 15, 2020 Filed Jun 15, 2020 17:33 UTC |
Silberstein David S.Director · 10% owner
|
GrantStock Option · Derivative | 9,135 | Not disclosed Strike: $15.00 | Not disclosed |
DisclosureSEC source: 0001213900-20-015048 · ownership.xml · derivative · entry 1 Silberstein David S. · CIK 0001812659 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,135 Underlying: Common Stock · 9,135 shares Expires not disclosed F1 · derivative.exercise_price: The Reporting Person was granted options to purchase 9,135 shares of the Issuer's common stock at the exercise price equal to the price per share sold in the Issuer's initial public offering ("IPO"). The options granted will vest in equal monthly increments over a 36 month period commencing upon the closing of the Issuer's IPO, which is the grant date of the options. Under the Amended and Restated 2018 Equity Incentive Plan, the options may not be exercised after the tenth anniversary of the grant date. F1 · price: The Reporting Person was granted options to purchase 9,135 shares of the Issuer's common stock at the exercise price equal to the price per share sold in the Issuer's initial public offering ("IPO"). The options granted will vest in equal monthly increments over a 36 month period commencing upon the closing of the Issuer's IPO, which is the grant date of the options. Under the Amended and Restated 2018 Equity Incentive Plan, the options may not be exercised after the tenth anniversary of the grant date. F1 · derivative.exercise_date: The Reporting Person was granted options to purchase 9,135 shares of the Issuer's common stock at the exercise price equal to the price per share sold in the Issuer's initial public offering ("IPO"). The options granted will vest in equal monthly increments over a 36 month period commencing upon the closing of the Issuer's IPO, which is the grant date of the options. Under the Amended and Restated 2018 Equity Incentive Plan, the options may not be exercised after the tenth anniversary of the grant date. F1 · derivative.expiration_date: The Reporting Person was granted options to purchase 9,135 shares of the Issuer's common stock at the exercise price equal to the price per share sold in the Issuer's initial public offering ("IPO"). The options granted will vest in equal monthly increments over a 36 month period commencing upon the closing of the Issuer's IPO, which is the grant date of the options. Under the Amended and Restated 2018 Equity Incentive Plan, the options may not be exercised after the tenth anniversary of the grant date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.