0000899243-18-009608.txt : 20180405 0000899243-18-009608.hdr.sgml : 20180405 20180405200729 ACCESSION NUMBER: 0000899243-18-009608 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180403 FILED AS OF DATE: 20180405 DATE AS OF CHANGE: 20180405 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sherman Matthew L CENTRAL INDEX KEY: 0001325710 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36199 FILM NUMBER: 18741727 MAIL ADDRESS: STREET 1: C/O ACCELERON PHARMA INC STREET 2: 128 SIDNEY STREET CITY: CAMBRIDGE STATE: MA ZIP: 02139 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Pulmatrix, Inc. CENTRAL INDEX KEY: 0001574235 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 461821392 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 99 HAYDEN AVENUE STREET 2: SUITE 390 CITY: LEXINGTON STATE: MA ZIP: 02421 BUSINESS PHONE: (781) 357-2333 MAIL ADDRESS: STREET 1: 99 HAYDEN AVENUE STREET 2: SUITE 390 CITY: LEXINGTON STATE: MA ZIP: 02421 FORMER COMPANY: FORMER CONFORMED NAME: Ruthigen, Inc. DATE OF NAME CHANGE: 20130411 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-04-03 0 0001574235 Pulmatrix, Inc. PULM 0001325710 Sherman Matthew L C/O PULMATRIX, INC., 99 HAYDEN AVE., SUITE 390 LEXINGTON MA 02421 1 0 0 0 Common Stock 2018-04-03 4 P 0 20000 A 20000 D Series A Warrant (right to buy) 0.65 2018-04-03 4 P 0 20000 A 2018-04-03 2018-10-03 Common Stock 20000 20000 D Series B Warrant (right to buy) 0.75 2018-04-03 4 P 0 20000 A 2018-04-03 2023-04-03 Common Stock 20000 20000 D The reported securities were included within 20,000 Units purchased by the reporting person for $0.65 per Unit. Each Unit consisted of one share of common stock, one Series A Warrant to purchase one share of common stock at an exercise price of $0.65 per share, and one Series B Warrant to purchase one share of common stock at an exercise price of $0.75 per share. /s/ Matthew Sherman 2018-04-05