0000899243-19-014133.txt : 20190520 0000899243-19-014133.hdr.sgml : 20190520 20190520161030 ACCESSION NUMBER: 0000899243-19-014133 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190516 FILED AS OF DATE: 20190520 DATE AS OF CHANGE: 20190520 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: 19838842 MAIL ADDRESS: STREET 1: C/O VALERITAS, INC., 750 ROUTE 202 SOUTH STREET 2: SUITE 600 CITY: BRIDGEWATER STATE: NJ ZIP: 08807 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 2019-05-16 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) 1.06 2019-05-16 4 A 0 160000 0.00 A 2029-05-16 Common Stock 160000 160000 D The option vests in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019, 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. Amended and Restated 2013 Employee, Director and Consultant Equity Incentive Plan. /s/ William E. Duke, Jr. 2019-05-20