person · Reporting owner

Hawkins Richard J

Disclosed activity across 4 companies

Tapewire entity: 34209
SEC CIK: 0001307632

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
CERENOME, INC.CNSY · Entity 7637	Director	October 01, 2026	October 01, 2026
Savara IncSVRA · Entity 4900	Director	December 09, 2025	December 11, 2025

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

CERENOME, INC.

Report date October 01, 2026 · Filed October 01, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	2,450	Reported balance After 2026-10-01 transaction · row 1 1 source row Row 1 · 2026-10-01 · Exercise / conversion · Acquired 921 · Balance 2,450 F2: Represents the vesting of an RSU grant which occurs in four substantially equal quarterly installments beginning on July 1, 2026. F1: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the issuer's Common Stock.
Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	1,843	Reported balance After 2026-10-01 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2026-10-01 · Exercise / conversion · Disposed 921 · Balance 1,843 F2: Represents the vesting of an RSU grant which occurs in four substantially equal quarterly installments beginning on July 1, 2026.

Filing footnotes · ownership attribution and instrument terms

F1: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the issuer's Common Stock.

F2: Represents the vesting of an RSU grant which occurs in four substantially equal quarterly installments beginning on July 1, 2026.

Savara Inc

Report date December 09, 2025 · Filed December 11, 2025

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	161,326	Reported balance After 2025-12-09 transaction · row 1 1 source row Row 1 · 2025-12-09 · Grant · Acquired 40,000 · Balance 161,326 F1: Represents restricted stock units ("RSUs") that vest in full on December 9, 2026, subject to the reporting person's continued service with the Issuer. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The reporting person has elected to defer receipt of the shares of common stock underlying the RSUs upon vesting. In accordance with the reporting person's deferral election, the vested shares will be delivered to the reporting person following the reporting person's termination of service with the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: Represents restricted stock units ("RSUs") that vest in full on December 9, 2026, subject to the reporting person's continued service with the Issuer. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The reporting person has elected to defer receipt of the shares of common stock underlying the RSUs upon vesting. In accordance with the reporting person's deferral election, the vested shares will be delivered to the reporting person following the reporting person's termination of service with the Issuer.

Past disclosures · reporting ended (2)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

LUMOS PHARMA, INC.

Report date December 12, 2024 · Filed December 13, 2024

Section 16 reporting ended · disclosed 2024-12-13. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2024-12-12 transaction · row 1 1 source row Row 1 · 2024-12-12 · Disposition to issuer · Disposed 753,093 · Balance 0 F1: Disposed of pursuant to that certain Agreement and Plan of Merger, dated October 22, 2024, by and between the Issuer, DPV Parent, Inc., DPV MergerSub, Inc. and Double Point Ventures LLC ("DPV") (the "Merger Agreement") in exchange for (i) $4.25 in cash per share (the "Cash Amount"), plus (ii) one non-transferable contingent value right ("CVR") per share. Each restricted stock unit ("RSU") was cancelled and will receive the Cash Amount plus one CVR per RSU.
Common StockSEC Table I · non-derivative	IndirectBy Charitable Trust	Reported balance After 2024-12-12 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2024-12-12 · Disposition to issuer · Disposed 4,469 · Balance 0 F1: Disposed of pursuant to that certain Agreement and Plan of Merger, dated October 22, 2024, by and between the Issuer, DPV Parent, Inc., DPV MergerSub, Inc. and Double Point Ventures LLC ("DPV") (the "Merger Agreement") in exchange for (i) $4.25 in cash per share (the "Cash Amount"), plus (ii) one non-transferable contingent value right ("CVR") per share. Each restricted stock unit ("RSU") was cancelled and will receive the Cash Amount plus one CVR per RSU.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.84 · Expires 2029-06-27	Direct	Reported balance After 2024-12-12 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2024-12-12 · Disposition to issuer · Disposed 19,624 · Balance 0 F2: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.84 · Expires 2034-03-31	Direct	Reported balance After 2024-12-12 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2024-12-12 · Disposition to issuer · Disposed 35,400 · Balance 0 F2: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.52	Direct	Reported balance After 2024-12-12 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2024-12-12 · Disposition to issuer · Disposed 35,400 · Balance 0 F2: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.87 · Expires 2030-03-31	Direct	Reported balance After 2024-12-12 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2024-12-12 · Disposition to issuer · Disposed 135,000 · Balance 0 F3: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.02 · Expires 2032-01-31	Direct	Reported balance After 2024-12-12 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2024-12-12 · Disposition to issuer · Disposed 35,400 · Balance 0 F3: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.35 · Expires 2031-01-31	Direct	Reported balance After 2024-12-12 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2024-12-12 · Disposition to issuer · Disposed 28,475 · Balance 0 F3: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.

Filing footnotes · ownership attribution and instrument terms

F1: Disposed of pursuant to that certain Agreement and Plan of Merger, dated October 22, 2024, by and between the Issuer, DPV Parent, Inc., DPV MergerSub, Inc. and Double Point Ventures LLC ("DPV") (the "Merger Agreement") in exchange for (i) $4.25 in cash per share (the "Cash Amount"), plus (ii) one non-transferable contingent value right ("CVR") per share. Each restricted stock unit ("RSU") was cancelled and will receive the Cash Amount plus one CVR per RSU.

F2: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option.

F3: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.

SCICLONE PHARMACEUTICALS INC

Report date October 13, 2017 · Filed October 16, 2017

Section 16 reporting ended · disclosed 2017-10-16. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2017-10-13 transaction · row 1 1 source row Row 1 · 2017-10-13 · Disposition to issuer · Disposed 24,363 · Balance 0
Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.04 · Expires 2021-06-30	Direct	Reported balance After 2017-10-13 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2017-10-13 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F1: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 30, 2011), and became immediately exercisable and vested in full as of June 30, 2012.
Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.78 · Expires 2022-06-07	Direct	Reported balance After 2017-10-13 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2017-10-13 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F3: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 7, 2012), and became immediately exercisable and vested in full as of June 7, 2013.
Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.13 · Expires 2023-06-27	Direct	Reported balance After 2017-10-13 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2017-10-13 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F4: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 27, 2013), and became immediately exercisable and vested in full as of June 27, 2014.
Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.10 · Expires 2024-06-12	Direct	Reported balance After 2017-10-13 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2017-10-13 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F5: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 12, 2014), and became immediately exercisable and vested in full as of June 12, 2015.
Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.15 · Expires 2025-06-11	Direct	Reported balance After 2017-10-13 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2017-10-13 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F6: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 11, 2015), and became immediately exercisable and vested in full as of June 11, 2016.
Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.90 · Expires 2027-06-08	Direct	Reported balance After 2017-10-13 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2017-10-13 · Disposition to issuer · Disposed 30,000 · Balance 0 F2: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price. F7: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 8, 2017), and became immediately exercisable and vested in full as of the date ten (10) days prior to the Merger.

Filing footnotes · ownership attribution and instrument terms

F1: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 30, 2011), and became immediately exercisable and vested in full as of June 30, 2012.

F2: The option was canceled immediately prior to the merger of Issuer and Silver Delaware Investment Limited (the "Merger") in exchange for a cash payment per share from the Issuer in an amount equal to the excess of $11.18 per share over the exercise price.

F3: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 7, 2012), and became immediately exercisable and vested in full as of June 7, 2013.

F4: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 27, 2013), and became immediately exercisable and vested in full as of June 27, 2014.

F5: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 12, 2014), and became immediately exercisable and vested in full as of June 12, 2015.

F6: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 11, 2015), and became immediately exercisable and vested in full as of June 11, 2016.

F7: Under its terms the option became exercisable in installments at the rate of one-twelfth of the shares subject to the option at the end of each one-month period from the date of grant (June 8, 2017), and became immediately exercisable and vested in full as of the date ten (10) days prior to the Merger.

Transaction history

JSON API

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	Company	Activity / security	Shares / units	Reported price	Reported value	Details
October 01, 2026 Filed Oct 1, 2026 16:00 UTC	CERENOME, INC. CNSY · Entity 7637	Exercise / conversionRestricted Stock Units · Derivative	921	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001193125-26-409858 · ownership.xml · derivative · entry 2 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,843 Underlying: Common Stock · 921 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. F2 · derivative.exercise_date: Represents the vesting of an RSU grant which occurs in four substantially equal quarterly installments beginning on July 1, 2026. F2 · derivative.expiration_date: Represents the vesting of an RSU grant which occurs in four substantially equal quarterly installments beginning on July 1, 2026. Read SEC document
October 01, 2026 Filed Oct 1, 2026 16:00 UTC	CERENOME, INC. CNSY · Entity 7637	Exercise / conversionCommon Stock	921	$0.00	$0.00	Disclosure SEC source: 0001193125-26-409858 · ownership.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,450 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. F2 · shares: Represents the vesting of an RSU grant which occurs in four substantially equal quarterly installments beginning on July 1, 2026. F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the issuer's Common Stock. Read SEC document
July 01, 2026 Filed Jul 1, 2026 20:30 UTC	CERENOME, INC. PSTV · Entity 7637	Exercise / conversionRestricted Stock Units · Derivative	922	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001193125-26-292648 · ownership.xml · derivative · entry 2 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,764 Underlying: Common Stock · 922 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. F2 · derivative.exercise_date: Represents the vesting of an RSU grant which occurs in four substantially equal quarterly installments beginning on July 1, 2026. F2 · derivative.expiration_date: Represents the vesting of an RSU grant which occurs in four substantially equal quarterly installments beginning on July 1, 2026. Read SEC document
July 01, 2026 Filed Jul 1, 2026 20:30 UTC	CERENOME, INC. PSTV · Entity 7637	Exercise / conversionCommon Stock	922	$0.00	$0.00	Disclosure SEC source: 0001193125-26-292648 · ownership.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,529 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. F2 · shares: Represents the vesting of an RSU grant which occurs in four substantially equal quarterly installments beginning on July 1, 2026. F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the issuer's Common Stock. Read SEC document
May 14, 2026 Filed May 18, 2026 20:12 UTC	CERENOME, INC. PSTV · Entity 7637	GrantStock Option (Right to Buy) · Derivative	3,686	$0.00 Strike: $5.76	$0.00	Disclosure SEC source: 0001193125-26-228930 · ownership.xml · derivative · entry 2 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,686 Underlying: Common Stock · 3,686 shares Expires 2036-05-14 F2 · derivative.exercise_date: The options vest monthly over 12 months from the grant date in substantially equal monthly increments, provided that the options vest in full on the Issuer's 2027 Annual Stockholder Meeting, subject to the Reporting Person's continued service to the Issuer through each applicable vesting date or, if earlier, such annual meeting. Read SEC document
May 14, 2026 Filed May 18, 2026 20:12 UTC	CERENOME, INC. PSTV · Entity 7637	GrantRestricted Stock Units · Derivative	3,686	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001193125-26-228930 · ownership.xml · derivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,686 Underlying: Common Stock · 3,686 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs awarded vest ratably over four quarters in substantially equal 1/4th increments, commencing with 1/4th vesting on July 1, 2026 and the remainder vesting quarterly thereafter. F1 · derivative.exercise_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs awarded vest ratably over four quarters in substantially equal 1/4th increments, commencing with 1/4th vesting on July 1, 2026 and the remainder vesting quarterly thereafter. F1 · derivative.expiration_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs awarded vest ratably over four quarters in substantially equal 1/4th increments, commencing with 1/4th vesting on July 1, 2026 and the remainder vesting quarterly thereafter. Read SEC document
December 09, 2025 Filed Dec 11, 2025 22:50 UTC	Savara Inc SVRA · Entity 4900	GrantCommon Stock	40,000	$0.00	$0.00	Disclosure SEC source: 0001193125-25-316315 · ownership.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 161,326 F1 · shares: Represents restricted stock units ("RSUs") that vest in full on December 9, 2026, subject to the reporting person's continued service with the Issuer. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The reporting person has elected to defer receipt of the shares of common stock underlying the RSUs upon vesting. In accordance with the reporting person's deferral election, the vested shares will be delivered to the reporting person following the reporting person's termination of service with the Issuer. Read SEC document
November 14, 2025 Filed Nov 17, 2025 21:38 UTC	Savara Inc SVRA · Entity 4900	Exercise / conversionStock Option (Right to Buy) · Derivative	5,860	$0.00 Strike: $1.46	$0.00	Disclosure SEC source: 0001193125-25-284702 · ownership.xml · derivative · entry 2 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,860 shares Expires 2025-12-15 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. F1 · derivative.exercise_date: The shares subject to the option vested and became exercisable in twelve equal quarterly installments beginning on March 15, 2016. Read SEC document
November 14, 2025 Filed Nov 17, 2025 21:38 UTC	Savara Inc SVRA · Entity 4900	Exercise / conversionCommon Stock	5,860	$1.46	$8,555.60	Disclosure SEC source: 0001193125-25-284702 · ownership.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 121,326 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. Read SEC document
August 13, 2025 Filed Aug 15, 2025 20:29 UTC	CERENOME, INC. PSTV · Entity 7637	GrantStock Option (Right to Buy) · Derivative	397,794	$0.00 Strike: $0.57	$0.00	Disclosure SEC source: 0000950170-25-109412 · ownership.xml · derivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 397,794 Underlying: Common Stock · 397,794 shares Expires 2035-08-12 F1 · derivative.exercise_date: The options vest monthly over 12 months from the Grant Date in substantially equal monthly installments, provided that the options vest in full on the Issuer's 2026 Annual Stockholder Meeting, subject to the Reporting Person's continued service to the Issuer through each applicable vesting date or, if earlier, such annual meeting. Read SEC document
June 20, 2025 Filed Jun 23, 2025 18:39 UTC	Savara Inc SVRA · Entity 4900	PurchaseCommon Stock	48,225	$2.04	$98,571.90	Disclosure SEC source: 0000950170-25-088895 · ownership.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 115,466 F1 · price: The price is a weighted average purchase price. The purchase prices ranged from $2.0345 to $2.045. The reporting person undertakes to provide Savara Inc., any security holder of Savara Inc., or the staff of the Securities and Exchange Commission, upon receipt of a request, full information regarding the number of shares purchased at each separate price within the range set forth in this Form 4. Read SEC document
February 18, 2025 Filed Feb 20, 2025 22:30 UTC	CERENOME, INC. PSTV · Entity 7637	GrantStock Option (Right to Buy) · Derivative	40,122	$0.00 Strike: $1.18	$0.00	Disclosure SEC source: 0000950170-25-024344 · ownership.xml · derivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,122 Underlying: Common Stock · 40,122 shares Expires 2035-02-17 F1 · derivative.exercise_date: 1. The options vest monthly over 12 months from the Grant Date in substantially equal monthly installments, provided that the options vest in full on the Issuer's 2026 Annual Stockholder Meeting, subject to the Reporting Person's continued service to the Issuer through each applicable vesting date or, if earlier, such annual meeting. Read SEC document
December 16, 2024 Filed Dec 16, 2024 22:53 UTC	Savara Inc SVRA · Entity 4900	SaleCommon Stock	8,000	$3.32	$26,568.80	Disclosure SEC source: 0000950170-24-136780 · ownership.xml · nonDerivative · entry 2 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 67,241 F2 · shares: Represents shares sold to satisfy tax liability upon the vesting of restricted stock units. F3 · price: The price is a weighted average sales price. The sale prices ranged from $3.29 to $3.36. The reporting person undertakes to provide Savara Inc., any security holder of Savara Inc., or the staff of the Securities and Exchange Commission, upon receipt of a request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. Read SEC document
December 12, 2024 Filed Dec 13, 2024 21:32 UTC	LUMOS PHARMA, INC. (LUMO) · Entity 85102	Disposition to issuerStock Option (Right to Buy) · Derivative	28,475	Not disclosed Strike: $17.35	Not disclosed	Disclosure SEC source: 0001126234-24-000122 · wk-form4_1734143552.xml · derivative · entry 8 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 28,475 shares Expires 2031-01-31 F3 · price: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement. F3 · derivative.exercise_date: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement. Read SEC document
December 12, 2024 Filed Dec 13, 2024 21:32 UTC	LUMOS PHARMA, INC. (LUMO) · Entity 85102	Disposition to issuerStock Option (Right to Buy) · Derivative	35,400	Not disclosed Strike: $10.02	Not disclosed	Disclosure SEC source: 0001126234-24-000122 · wk-form4_1734143552.xml · derivative · entry 7 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 35,400 shares Expires 2032-01-31 F3 · price: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement. F3 · derivative.exercise_date: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement. Read SEC document
December 12, 2024 Filed Dec 13, 2024 21:32 UTC	LUMOS PHARMA, INC. (LUMO) · Entity 85102	Disposition to issuerStock Option (Right to Buy) · Derivative	135,000	Not disclosed Strike: $7.87	Not disclosed	Disclosure SEC source: 0001126234-24-000122 · wk-form4_1734143552.xml · derivative · entry 6 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 135,000 shares Expires 2030-03-31 F3 · price: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement. F3 · derivative.exercise_date: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement. Read SEC document
December 12, 2024 Filed Dec 13, 2024 21:32 UTC	LUMOS PHARMA, INC. (LUMO) · Entity 85102	Disposition to issuerStock Option (Right to Buy) · Derivative	35,400	Not disclosed Strike: $3.52	Not disclosed	Disclosure SEC source: 0001126234-24-000122 · wk-form4_1734143552.xml · derivative · entry 5 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 35,400 shares Expires not disclosed F2 · price: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option. F2 · derivative.exercise_date: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option. F2 · derivative.expiration_date: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option. Read SEC document
December 12, 2024 Filed Dec 13, 2024 21:32 UTC	LUMOS PHARMA, INC. (LUMO) · Entity 85102	Disposition to issuerStock Option (Right to Buy) · Derivative	35,400	Not disclosed Strike: $2.84	Not disclosed	Disclosure SEC source: 0001126234-24-000122 · wk-form4_1734143552.xml · derivative · entry 4 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 35,400 shares Expires 2034-03-31 F2 · price: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option. F2 · derivative.exercise_date: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option. Read SEC document
December 12, 2024 Filed Dec 13, 2024 21:32 UTC	LUMOS PHARMA, INC. (LUMO) · Entity 85102	Disposition to issuerStock Option (Right to Buy) · Derivative	19,624	Not disclosed Strike: $1.84	Not disclosed	Disclosure SEC source: 0001126234-24-000122 · wk-form4_1734143552.xml · derivative · entry 3 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 19,624 shares Expires 2029-06-27 F2 · price: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option. F2 · derivative.exercise_date: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option. Read SEC document
December 12, 2024 Filed Dec 13, 2024 21:32 UTC	LUMOS PHARMA, INC. (LUMO) · Entity 85102	Disposition to issuerCommon Stock	4,469	Not disclosed	Not disclosed	Disclosure SEC source: 0001126234-24-000122 · wk-form4_1734143552.xml · nonDerivative · entry 2 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By Charitable Trust Disclosed balance after: 0 F1 · price: Disposed of pursuant to that certain Agreement and Plan of Merger, dated October 22, 2024, by and between the Issuer, DPV Parent, Inc., DPV MergerSub, Inc. and Double Point Ventures LLC ("DPV") (the "Merger Agreement") in exchange for (i) $4.25 in cash per share (the "Cash Amount"), plus (ii) one non-transferable contingent value right ("CVR") per share. Each restricted stock unit ("RSU") was cancelled and will receive the Cash Amount plus one CVR per RSU. Read SEC document
December 12, 2024 Filed Dec 13, 2024 21:32 UTC	LUMOS PHARMA, INC. (LUMO) · Entity 85102	Disposition to issuerCommon Stock	753,093	Not disclosed	Not disclosed	Disclosure SEC source: 0001126234-24-000122 · wk-form4_1734143552.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · price: Disposed of pursuant to that certain Agreement and Plan of Merger, dated October 22, 2024, by and between the Issuer, DPV Parent, Inc., DPV MergerSub, Inc. and Double Point Ventures LLC ("DPV") (the "Merger Agreement") in exchange for (i) $4.25 in cash per share (the "Cash Amount"), plus (ii) one non-transferable contingent value right ("CVR") per share. Each restricted stock unit ("RSU") was cancelled and will receive the Cash Amount plus one CVR per RSU. Read SEC document
December 12, 2024 Filed Dec 16, 2024 22:53 UTC	Savara Inc SVRA · Entity 4900	GrantCommon Stock	40,000	$0.00	$0.00	Disclosure SEC source: 0000950170-24-136780 · ownership.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,241 F1 · shares: Represents restricted stock units ("RSUs") that vest in full on December 12, 2025, subject to the reporting person's continued service with the Issuer. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The reporting person has elected to defer receipt of the shares of common stock underlying the RSUs upon vesting. In accordance with the reporting person's deferral election, the vested shares will be delivered to the reporting person following the reporting person's termination of service with the Issuer. Read SEC document
September 13, 2024 Filed Sep 17, 2024 11:00 UTC	CERENOME, INC. PSTV · Entity 7637	PurchaseCommon Stock	4,000	$1.50	$5,996.00	Disclosure SEC source: 0000950170-24-107008 · ownership.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,188 F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices of $1.47 to $1.50 per share. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document
September 12, 2024 Filed Sep 16, 2024 11:00 UTC	CERENOME, INC. PSTV · Entity 7637	PurchaseCommon Stock	6,285	$1.35	$8,511.78	Disclosure SEC source: 0000950170-24-106605 · ownership.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,188 F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices of $1.27 or $1.40 per share. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document
September 11, 2024 Filed Sep 12, 2024 20:30 UTC	CERENOME, INC. PSTV · Entity 7637	GrantStock Option (Right to Buy) · Derivative	3,650	$0.00 Strike: $1.26	$0.00	Disclosure SEC source: 0000950170-24-105959 · ownership.xml · derivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,650 Underlying: Common Stock · 3,650 shares Expires 2034-09-11 F1 · derivative.exercise_date: The options vest monthly over 12 months from the Grant Date in substantially equal monthly installments, provided that the options vest in full on the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date, subject to the Reporting Person's continued service to the Issuer through each applicable vesting date or, if earlier, such annual meeting. Read SEC document
May 08, 2024 Filed May 10, 2024 11:30 UTC	CERENOME, INC. PSTV · Entity 7637	GrantWarrants (Right to buy) · Derivative	9,804	$0.00 Strike: $1.79	$0.00	Disclosure SEC source: 0000950170-24-057453 · ownership.xml · derivative · entry 2 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,804 Underlying: Common Stock Warrants · 9,804 shares Expires not disclosed F1 · derivative.expiration_date: The expiration date for 4,902 of the warrants (Series A warrants) is May 8, 2029. The expiration date for the other 4,902 warrants (Series B warrants) is the one-year anniversary of the effectiveness of a registration statement covering the resale of shares of common stock underlying the Series B warrants. F2 · derivative.underlying: Half of the warrants are Series A warrants and the other half are Series B warrants. Read SEC document
May 08, 2024 Filed May 10, 2024 11:30 UTC	CERENOME, INC. PSTV · Entity 7637	PurchaseCommon Stock	4,902	$2.04	$10,000.08	Disclosure SEC source: 0000950170-24-057453 · ownership.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,903 Read SEC document
April 01, 2024 Filed Apr 3, 2024 17:10 UTC	LUMOS PHARMA, INC. (LUMO) · Entity 85102	GrantStock Option (Right to Buy) · Derivative	35,400	$0.00 Strike: $2.84	$0.00	Disclosure SEC source: 0001126234-24-000035 · wk-form4_1712178581.xml · derivative · entry 4 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,400 Underlying: Common Stock · 35,400 shares Expires 2034-03-31 F6 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Plan. The option vests and becomes exercisable in a series of 48 successive equal monthly installments beginning on May 1, 2024, provided that at the relevant vesting dates the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. The option expires ten years after the date of grant. Read SEC document
April 01, 2024 Filed Apr 3, 2024 17:10 UTC	LUMOS PHARMA, INC. (LUMO) · Entity 85102	Tax withholdingCommon Stock	1,522	$2.84	$4,322.48	Disclosure SEC source: 0001126234-24-000035 · wk-form4_1712178581.xml · nonDerivative · entry 2 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 753,093 F5 · shares: Represents shares of Common Stock withheld by the Issuer in satisfaction of its tax withholding obligation with respect to the vesting of 6,250 previously reported RSUs granted to the Reporting Person. F2 · balance_after: Includes 583 RSUs granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person on February 1, 2025, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. F3 · balance_after: Includes 2,250 RSUs granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of two successive annual installments with the next installment occurring on February 1, 2025, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. F4 · balance_after: Includes 3,375 RSUs granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of three successive annual installments with the next installment occurring on February 1, 2025, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. Read SEC document
April 01, 2024 Filed Apr 3, 2024 17:10 UTC	LUMOS PHARMA, INC. (LUMO) · Entity 85102	GrantCommon Stock	4,500	$2.84	$12,780.00	Disclosure SEC source: 0001126234-24-000035 · wk-form4_1712178581.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 754,615 F1 · shares: Represents shares issued as restricted stock units ("RSUs") under the Issuer's 2009 Equity Incentive Plan (the "Plan") that were received as an award, for no consideration. The RSUs vest in a series of four successive annual installments beginning on April 1, 2025, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. F2 · balance_after: Includes 583 RSUs granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person on February 1, 2025, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. F3 · balance_after: Includes 2,250 RSUs granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of two successive annual installments with the next installment occurring on February 1, 2025, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. F4 · balance_after: Includes 3,375 RSUs granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of three successive annual installments with the next installment occurring on February 1, 2025, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. Read SEC document
February 22, 2024 Filed Feb 26, 2024 23:24 UTC	CERENOME, INC. PSTV · Entity 7637	GrantStock Option (Right to Buy) · Derivative	2,250	$0.00 Strike: $2.03	$0.00	Disclosure SEC source: 0000950170-24-020412 · ownership.xml · derivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,250 Underlying: Common Stock · 2,250 shares Expires 2034-02-22 F1 · derivative.exercise_date: The options vest monthly over 12 months from the Grant Date in substantially equal monthly installments, provided that the options vest in full on the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date, subject to the Reporting Person's continued service to the Issuer through each applicable vesting date or, if earlier, such annual meeting. Read SEC document
February 01, 2024 Filed Feb 5, 2024 17:54 UTC	LUMOS PHARMA, INC. (LUMO) · Entity 85102	Tax withholdingCommon Stock	690	$3.01	$2,076.90	Disclosure SEC source: 0001126234-24-000015 · wk-form4_1707173641.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 750,115 F1 · shares: Represents shares of Common Stock withheld by the Issuer in satisfaction of its tax withholding obligation with respect to the vesting of 2,832 previously reported restricted stock units ("RSUs") granted to the Reporting Person. F2 · balance_after: Includes 6,250 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person on April 1, 2024, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. F3 · balance_after: Includes 583 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person on February 1, 2025, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. F4 · balance_after: Includes 2,250 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of two successive annual installments with the next installment occurring on February 1, 2025, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. F5 · balance_after: Includes 3,375 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of three successive annual installments with the next installment occurring on February 1, 2025, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. Read SEC document
December 14, 2023 Filed Dec 15, 2023 22:33 UTC	Savara Inc SVRA · Entity 4900	GrantCommon Stock	22,500	$0.00	$0.00	Disclosure SEC source: 0001209191-23-058844 · doc4.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,241 F1 · shares: Represents restricted stock units ("RSUs") that vest in full on December 14, 2024, subject to the reporting person's continued service with the Issuer. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Read SEC document
December 11, 2023 Filed Dec 12, 2023 23:09 UTC	Savara Inc SVRA · Entity 4900	Exercise / conversionStock Option (Right to Buy) · Derivative	10,841	$0.00 Strike: $0.82	$0.00	Disclosure SEC source: 0001209191-23-058353 · doc4.xml · derivative · entry 2 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,841 shares Expires 2023-12-12 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. F1 · derivative.exercise_date: The shares subject to the option vested and became exercisable in twelve equal quarterly installments beginning on March 12, 2014. Read SEC document
December 11, 2023 Filed Dec 12, 2023 23:09 UTC	Savara Inc SVRA · Entity 4900	Exercise / conversionCommon Stock	10,841	$0.82	$8,889.62	Disclosure SEC source: 0001209191-23-058353 · doc4.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,741 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. Read SEC document
April 01, 2023 Filed Apr 4, 2023 17:21 UTC	LUMOS PHARMA, INC. (LUMO) · Entity 85102	Tax withholdingCommon Stock	1,522	$3.31	$5,037.82	Disclosure SEC source: 0001126234-23-000049 · wf-form4_168064326092391.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 750,805 F1 · shares: Represents shares of Common Stock withheld by the Issuer in satisfaction of its tax withholding obligation with respect to the vesting of 6,250 previously reported restricted stock units ("RSUs") granted to the Reporting Person. F2 · balance_after: Includes 1,165 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of two successive annual installments with the next installment occurring on February 1, 2024, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. F3 · balance_after: Includes 6,250 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person on April 1, 2024, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. F4 · balance_after: Includes 3,375 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of three successive annual installments with the next installment occurring on February 1, 2024, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. F5 · balance_after: Includes 4,500 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of four successive annual installments with the next installment occurring on February 1, 2024, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. Read SEC document
March 03, 2023 Filed Mar 7, 2023 00:40 UTC	CERENOME, INC. PSTV · Entity 7637	PurchaseSeries F Preferred Stock	1	$1,000.00	$1,000.00	Disclosure SEC source: 0001209191-23-016526 · doc4.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 Read SEC document
February 15, 2023 Filed Feb 17, 2023 21:32 UTC	CERENOME, INC. PSTV · Entity 7637	GrantStock Option (Right to Buy) · Derivative	20,182	$0.00 Strike: $0.39	$0.00	Disclosure SEC source: 0001209191-23-010652 · doc4.xml · derivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,182 Underlying: Common Stock · 20,182 shares Expires 2033-02-15 F1 · derivative.exercise_date: The options vest monthly over 12 months from the Grant Date in substantially equal monthly installments, provided that the options vest in full on the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date, subject to the Reporting Person's continued service to the Issuer through each applicable vesting date or, if earlier, such annual meeting. Read SEC document
February 01, 2023 Filed Feb 3, 2023 17:02 UTC	LUMOS PHARMA, INC. (LUMO) · Entity 85102	GrantStock Option (Right to Buy) · Derivative	35,400	$0.00 Strike: $3.52	$0.00	Disclosure SEC source: 0001126234-23-000013 · wf-form4_167546173552737.xml · derivative · entry 4 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,400 Underlying: Common Stock · 35,400 shares Expires not disclosed F6 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Plan. 50% of the option vests and becomes exercisable in a series of 48 successive equal monthly installments beginning on March 1, 2023, provided that at the relevant vesting dates the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. The option expires ten years after the Date of Grant. F7 · derivative.exercise_date: The remaining 50% of the stock options vest and become exercisable in 3 substantially equal tranches on the first of the month following an increase of closing stock price, as defined as the closing stock price on Nasdaq Stock Market by at least 50%, 100% and 150%, respectively, above the closing stock on December 31, 2022, when measured over 30 consecutive calendar days, provided such increase occurs within two years of the Date of Grant, otherwise such options shall be cancelled. F8 · derivative.expiration_date: Unless otherwise disclosed, the option expires ten years after the date of grant. Read SEC document
February 01, 2023 Filed Feb 3, 2023 17:02 UTC	LUMOS PHARMA, INC. (LUMO) · Entity 85102	Tax withholdingCommon Stock	416	$3.52	$1,464.32	Disclosure SEC source: 0001126234-23-000013 · wf-form4_167546173552737.xml · nonDerivative · entry 2 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 752,327 F5 · shares: Represents shares of Common Stock withheld by the Issuer in satisfaction of its tax withholding obligation with respect to the vesting of 1,707 previously reported RSUs granted to the Reporting Person. F2 · balance_after: Includes 1,165 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of two successive annual installments with the next installment occurring on February 1, 2024, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. F3 · balance_after: Includes 12,500 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of two successive annual installments with the next installment occurring on April 1, 2023, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. F4 · balance_after: Includes 3,375 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of three successive annual installments with the next installment occurring on February 1, 2024, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. Read SEC document
February 01, 2023 Filed Feb 3, 2023 17:02 UTC	LUMOS PHARMA, INC. (LUMO) · Entity 85102	GrantCommon Stock	4,500	$3.52	$15,840.00	Disclosure SEC source: 0001126234-23-000013 · wf-form4_167546173552737.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 752,743 F1 · shares: Represents shares issued as restricted stock units ("RSUs") under the Issuer's 2009 Equity Incentive Plan, as amended, (the "Plan") that were received as an award, for no consideration. The RSUs vest in a series of four successive annual installments beginning on February 1, 2024, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. F2 · balance_after: Includes 1,165 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of two successive annual installments with the next installment occurring on February 1, 2024, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. F3 · balance_after: Includes 12,500 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of two successive annual installments with the next installment occurring on April 1, 2023, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. F4 · balance_after: Includes 3,375 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of three successive annual installments with the next installment occurring on February 1, 2024, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. Read SEC document
December 13, 2022 Filed Dec 15, 2022 21:09 UTC	Savara Inc SVRA · Entity 4900	GrantStock Option (Right to Buy) · Derivative	40,000	$0.00 Strike: $1.51	$0.00	Disclosure SEC source: 0001209191-22-061415 · doc4.xml · derivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2032-12-13 F1 · derivative.exercise_date: The shares subject to the option vest and become exercisable on December 13, 2023. Read SEC document
December 07, 2022 Filed Dec 8, 2022 22:08 UTC	Savara Inc SVRA · Entity 4900	Exercise / conversionStock Option (Right to Buy) · Derivative	1,172	$0.00 Strike: $0.65	$0.00	Disclosure SEC source: 0001209191-22-060376 · doc4.xml · derivative · entry 2 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,172 shares Expires 2022-12-14 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. F1 · derivative.exercise_date: The shares subject to the option vested and became exercisable in twelve equal quarterly installments beginning on March 14, 2013. Read SEC document
December 07, 2022 Filed Dec 8, 2022 22:08 UTC	Savara Inc SVRA · Entity 4900	Exercise / conversionCommon Stock	1,172	$0.65	$761.80	Disclosure SEC source: 0001209191-22-060376 · doc4.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,900 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. Read SEC document
September 23, 2022 Filed Sep 23, 2022 17:05 UTC	LUMOS PHARMA, INC. (LUMO) · Entity 85102	PurchaseCommon Stock	208	$8.80	$1,830.40	Disclosure SEC source: 0001126234-22-000105 · wf-form4_166396710487697.xml · nonDerivative · entry 2 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Charitable Trust Disclosed balance after: 4,469 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.76 to $8.80, inclusive. The reporting person undertakes to provide to the issuer, any security holder of issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the ranges set forth in this footnote to this Form 4. Read SEC document
September 21, 2022 Filed Sep 23, 2022 17:05 UTC	LUMOS PHARMA, INC. (LUMO) · Entity 85102	PurchaseCommon Stock	2,214	$8.84	$19,571.76	Disclosure SEC source: 0001126234-22-000105 · wf-form4_166396710487697.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Charitable Trust Disclosed balance after: 4,261 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.50 to $8.90, inclusive. The reporting person undertakes to provide to the issuer, any security holder of issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the ranges set forth in this footnote to this Form 4. Read SEC document
September 20, 2022 Filed Sep 21, 2022 18:45 UTC	LUMOS PHARMA, INC. (LUMO) · Entity 85102	PurchaseCommon Stock	1,506	$8.75	$13,177.50	Disclosure SEC source: 0001126234-22-000103 · wf-form4_166380032181273.xml · nonDerivative · entry 2 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Charitable Trust Disclosed balance after: 2,047 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.74 to $8.75, inclusive. The reporting person undertakes to provide to the issuer, any security holder of issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the ranges set forth in this footnote to this Form 4. Read SEC document
September 19, 2022 Filed Sep 21, 2022 18:45 UTC	LUMOS PHARMA, INC. (LUMO) · Entity 85102	PurchaseCommon Stock	541	$8.65	$4,679.65	Disclosure SEC source: 0001126234-22-000103 · wf-form4_166380032181273.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Charitable Trust Disclosed balance after: 541 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.51 to $8.75, inclusive. The reporting person undertakes to provide to the issuer, any security holder of issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the ranges set forth in this footnote to this Form 4. Read SEC document
April 01, 2022 Filed Apr 5, 2022 17:28 UTC	LUMOS PHARMA, INC. (LUMO) · Entity 85102	Tax withholdingCommon Stock	1,466	$9.23	$13,531.18	Disclosure SEC source: 0001126234-22-000032 · wf-form4_164919405905428.xml · nonDerivative · entry 1 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 748,243 F1 · shares: Represents shares of Common Stock withheld by the Issuer in satisfaction of its tax withholding obligation with respect to the vesting of 6,250 previously reported restricted stock units ("RSUs") granted to the Reporting Person. F2 · balance_after: Includes 1,747 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of three successive annual installments with the next installment occurring on February 1, 2023, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. F3 · balance_after: Includes 12,500 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of two successive annual installments with the next installment occurring on April 1, 2023, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. F4 · balance_after: Includes 4,500 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of four successive annual installments beginning on February 1, 2023, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. Read SEC document
February 01, 2022 Filed Feb 3, 2022 16:34 UTC	LUMOS PHARMA, INC. (LUMO) · Entity 85102	GrantStock Option (Right to Buy) · Derivative	35,400	$0.00 Strike: $10.02	$0.00	Disclosure SEC source: 0001126234-22-000007 · wf-form4_164392405843089.xml · derivative · entry 3 Hawkins Richard J · CIK 0001307632 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,400 Underlying: Common Stock · 35,400 shares Expires 2032-01-31 F5 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Plan. The option vests and becomes exercisable in a series of 48 successive equal monthly installments beginning on March 1, 2022, provided that at the relevant vesting dates the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. The option expires ten years after the date of grant. 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.