0000899243-20-001100.txt : 20200113 0000899243-20-001100.hdr.sgml : 20200113 20200113171941 ACCESSION NUMBER: 0000899243-20-001100 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200109 FILED AS OF DATE: 20200113 DATE AS OF CHANGE: 20200113 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: 20524369 MAIL ADDRESS: STREET 1: PULMATRIX, INC. - C/O TEOFILO RAAD STREET 2: 99 HAYDEN AVENUE - SUITE 390 CITY: LEXINGTON STATE: MA ZIP: 02421 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 2020-01-09 0 0001574235 Pulmatrix, Inc. PULM 0001705767 Raad Teofilo David C/O PULMATRIX, INC., 99 HAYDEN AVE LEXINGTON MA 02421 1 1 0 0 Chief Executive Officer Stock Option (Right to Buy) 1.54 2020-01-09 4 A 0 781800 0.00 A 2030-01-09 Common Stock 781800 781800 D Stock Option (Right to Buy) 1.54 2020-01-09 4 A 0 471460 0.00 A 2030-01-09 Common Stock 471460 471460 D The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant, with the first tranche vesting on January 9, 2020, 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. Pursuant to the stock option agreement dated January 9, 2020, 68,754 shares underlying this stock option are fully vested and exercisable as of the date of grant. The remaining shares underlying this stock option vest and become exercisable in forty-one (41) equal monthly installments on the 16th day of each of the 41 calendar months following the month in which the date of grant occurs, 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/ Teofilo D. Raad 2020-01-13