| Item 1. |
Security and Issuer |
This Amendment No. 1 to Schedule 13D (“Amendment No. 1”) amends and supplements the statement on Schedule 13D
originally filed with the United States Securities and Exchange Commission (the “SEC”) on March 30, 2020 (as amended, the “Schedule 13D”) related to the common stock, par value $0.01 per share (the “Common
Stock”) of Lumos Pharma, Inc. (f/k/a NewLink Genetics Corporation), a Delaware corporation (the “Issuer”). The address of the principal executive office of the Issuer is 4200 Marathon Blvd #200, Austin, Texas 78756.
The Items below amend the information disclosed under the corresponding Items of the Schedule 13D as described below. Except as specifically provided
herein, this Amendment No. 1 does not modify any of the information previously reported in the Schedule 13D. Capitalized terms used but not defined herein shall have the meanings attributed to them in the Schedule 13D.
| Item 2. |
Identity and Background |
Items 2 (a)-(c) of the Schedule 13D are hereby supplemented as follows:
The Blackstone Group Inc. is now known as Blackstone Inc. Blackstone Inc. is a Delaware corporation. Information regarding each director and executive officer
of Blackstone Inc. is set forth on the updated Schedule I attached hereto. The principal business of Blackstone Group Management L.L.C. is performing the functions of, and serving as, the sole holder of the Series II preferred stock of Blackstone
Inc.
| Item 5. |
Interest in Securities of the Issuer |
Items 5 (a)-(c) and (e) of the Schedule 13D are hereby amended and restated as follows:
(a) and (b) Calculations of the percentage of beneficial ownership in this Schedule 13D are based on 7,914,582 shares of Common Stock outstanding as of
November 2, 2023, as set forth in the Issuer’s Quarterly Report on Form 10-Q filed by the Issuer on November 7, 2023
The aggregate number and percentage of the Common Stock beneficially owned by each Reporting Person and, for each Reporting Person, the number of shares as to
which there is sole power to vote or to direct the vote, shared power to vote or to direct the vote, sole power to dispose or to direct the disposition, or shared power to dispose or to direct the disposition are set forth on rows 7 through 11 and
row 13 of the cover pages of this Schedule 13D and are incorporated herein by reference.
As of the date hereof, Clarus Lifesciences III, L.P. (the
“Fund”) directly holds 385,683 shares of Common Stock.
Clarus Ventures III GP, L.P. is the general partner of the Fund. Blackstone Clarus III
L.L.C. is the general partner of Clarus Ventures III GP, L.P. The sole member of Blackstone Clarus III L.L.C. is Blackstone Holdings II L.P. The general partner of Blackstone Holdings II L.P. is Blackstone Holdings I/II GP L.L.C. The sole member of
Blackstone Holdings I/II GP L.L.C. is Blackstone Inc. The sole holder of the Series II preferred stock of Blackstone Inc. is Blackstone Group Management L.L.C. Blackstone Group Management L.L.C. is wholly-owned by Blackstone’s senior managing
directors and controlled by its founder, Stephen A. Schwarzman.
Neither the filing of this Schedule 13D nor any of its contents shall be deemed to
constitute an admission that any Reporting Person is the beneficial owner of the Common Stock referred to herein for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, or for any other purpose and each of the
Reporting Persons expressly disclaims beneficial ownership of such shares of Common Stock.
(c) Except as set forth below, which presents information as
of 4:30 p.m. Eastern on November 27, 2023, none of the Reporting Persons has effected any transaction in Common Stock during the past 60 days.
The
following shares of Common Stock held by the Fund were sold in multiple open market sale transactions as described below.
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