0000899243-17-011912.txt : 20170504 0000899243-17-011912.hdr.sgml : 20170504 20170504185236 ACCESSION NUMBER: 0000899243-17-011912 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170501 FILED AS OF DATE: 20170504 DATE AS OF CHANGE: 20170504 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: Raad Teofilo David CENTRAL INDEX KEY: 0001705767 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36199 FILM NUMBER: 17815655 MAIL ADDRESS: STREET 1: PULMATRIX, INC. - C/O TEOFILO RAAD STREET 2: 99 HAYDEN AVENUE - SUITE 390 CITY: LEXINGTON STATE: MA ZIP: 02421 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-05-01 0 0001574235 Pulmatrix, Inc. PULM 0001705767 Raad Teofilo David C/O PULMATRIX, INC., 99 HAYDEN AVE LEXINGTON MA 02421 0 1 0 0 Chief Business Officer Stock Option (Right to Buy) 2.70 2017-05-01 4 A 0 330500 0.00 A 2027-05-01 Common Stock 330500 330500 D One-fourth (1/4) of the option vests on May 1, 2018 and the remainder vests in thirty-six (36) equal monthly installments with 2.083% vesting on the last day of each of the next thirty-six (36) months that follow May 1, 2018, provided that the reporting person is providing services to the Issuer on the applicable vesting date and subject to the terms and conditions of the Pulmatrix, Inc. 2013 Employee, Director and Consultant Equity Incentive Plan. /s/ Teofilo D. Raad 2017-05-03