0000899243-17-025524.txt : 20171107 0000899243-17-025524.hdr.sgml : 20171107 20171107171848 ACCESSION NUMBER: 0000899243-17-025524 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171103 FILED AS OF DATE: 20171107 DATE AS OF CHANGE: 20171107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Roach James M. CENTRAL INDEX KEY: 0001427944 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36199 FILM NUMBER: 171184409 MAIL ADDRESS: STREET 1: C/O MOMENTA PHARMACEUTICALS, INC. STREET 2: 675 WEST KENDALL STREET CITY: CAMBRIDGE STATE: MA ZIP: 02142 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 2017-11-03 0 0001574235 Pulmatrix, Inc. PULM 0001427944 Roach James M. C/O PULMATRIX, INC., 99 HAYDEN AVE LEXINGTON MA 02421 0 1 0 0 Chief Medical Officer Stock Option (Right to Buy) 1.57 2017-11-03 4 A 0 360000 0.00 A 2027-11-03 Common Stock 360000 360000 D One-fourth (1/4) of the option vests on November 3, 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 November 3, 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/ James Roach 2017-11-07