0000899243-17-008410.txt : 20170322 0000899243-17-008410.hdr.sgml : 20170322 20170322184941 ACCESSION NUMBER: 0000899243-17-008410 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170320 FILED AS OF DATE: 20170322 DATE AS OF CHANGE: 20170322 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Duke William E. CENTRAL INDEX KEY: 0001636135 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36199 FILM NUMBER: 17707816 MAIL ADDRESS: STREET 1: C/O VALERITAS, INC., 750 ROUTE 202 SOUTH STREET 2: SUITE 600 CITY: BRIDGEWATER STATE: NJ ZIP: 08807 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-03-20 0 0001574235 Pulmatrix, Inc. PULM 0001636135 Duke William E. C/O PULMATRIX, INC., 99 HAYDEN AVE LEXINGTON MA 02421 0 1 0 0 Chief Financial Officer Stock Option (Right to Buy) 2.78 2017-03-20 4 A 0 75100 0.00 A 2027-03-20 Common Stock 75100 75100 D The option vests as to 25% on March 20, 2018 and the remaining 75% vests in thirty-six (36) equal monthly installments with 2.083% vesting for each of the next thirty-six (36) months that follow March 20, 2018, subject to the terms and conditions of the Pulmatrix, Inc. Amended and Restated 2013 Employee, Director and Consultant Equity Incentive Plan. /s/ William E. Duke 2017-03-22