0000899243-17-008411.txt : 20170322 0000899243-17-008411.hdr.sgml : 20170322 20170322184953 ACCESSION NUMBER: 0000899243-17-008411 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: Hava David L. CENTRAL INDEX KEY: 0001645110 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36199 FILM NUMBER: 17707817 MAIL ADDRESS: STREET 1: 99 HAYDEN AVENUE, SUITE 390 CITY: LEXINGTON STATE: MA ZIP: 02421 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-03-20 0 0001574235 Pulmatrix, Inc. PULM 0001645110 Hava David L. C/O PULMATRIX, INC., 99 HAYDEN AVE LEXINGTON MA 02421 0 1 0 0 Chief Scientific Officer Common Stock 2017-03-22 4 M 0 2263 2.21 A 2263 D 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 Stock Option (Right to Buy) 2.21 2017-03-22 4 M 0 2263 0.00 D 2020-02-10 Common Stock 2263 1292 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. The option, representing the right to purchase a total of 3,555 shares of common stock, was fully vested and exercisable as of February 10, 2014. On March 22, 2017, the Reporting Person acquired 2,263 shares of common stock upon a partial exercise of this option. Following the exercise, the Reporting Person may acquire an additional 1,292 shares of common stock pursuant to this option. /s/ David Hava 2017-03-22