Filing Details
- Accession Number:
- 0001513162-21-000033
- Form Type:
- 13D Filing
- Publication Date:
- 2021-02-25 15:22:36
- Filed By:
- Fivet Investment Management Ltd
- Company:
- Pulmatrix Inc. (NASDAQ:PULM)
- Filing Date:
- 2021-02-25
- SEC Url:
- 13D Filing
Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| FiveT Investment Management Ltd | 00,000 | 928,938 | 00,000 | 928,938 | 928,938 | 1.66% |
| FiveT Capital AG | 928,938 | 00,000 | 928,938 | 00,000 | 928,938 | 1.66% |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
PULMATRIX INC
(Name of Issuer)
Common Shares
(Title of Class of Securities)
(CUSIP Number)
FiveT Investment Management Ltd
c/o DMS Corporate Services, Suite 5B201, 2nd Floor, One Nexus Way
Camana Bay, Grand Cayman, Cayman Islands KY1-1108
+1 345 749 2552
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
February 11, 2021
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. ¨
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.
*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
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| CUSIP No. 74584P202 |
| 13D |
| Page 2 of 6 Pages |
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| 1. |
| NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
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| 2. |
| CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
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| 3. |
| SEC USE ONLY |
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| 4. |
| SOURCE OF FUNDS (see instructions) |
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| 5. |
| CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨ |
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| 6. |
| CITIZENSHIP OR PLACE OF ORGANIZATION |
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| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
| 7. |
| SOLE VOTING POWER |
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| 8. |
| SHARED VOTING POWER | |
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| 9. |
| SOLE DISPOSITIVE POWER | |
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| 10. |
| SHARED DISPOSITIVE POWER |
| 11. |
| AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
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| 12. |
| CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |
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| 13. |
| PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
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| 14. |
| TYPE OF REPORTING PERSON (see instructions) |
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| CUSIP No. 74584P202 |
| 13D |
| Page 3 of 6 Pages |
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| 1. |
| NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
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| 2. |
| CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
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| 3. |
| SEC USE ONLY |
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| 4. |
| SOURCE OF FUNDS (see instructions) |
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| 5. |
| CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨ |
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| 6. |
| CITIZENSHIP OR PLACE OF ORGANIZATION |
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| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
| 7. |
| SOLE VOTING POWER |
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| 8. |
| SHARED VOTING POWER | |
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| 9. |
| SOLE DISPOSITIVE POWER | |
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| 10. |
| SHARED DISPOSITIVE POWER |
| 11. |
| AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
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| 12. |
| CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |
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| 13. |
| PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
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| 14. |
| TYPE OF REPORTING PERSON (see instructions) |
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| CUSIP No.74584P202 |
| 13D |
| Page 4 of 6 Pages |
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Item 1. Security and Issuer.
Cusip:
74584P202
Issuer:
Pulmatrix Inc
99 Hayden Avenue | Suite 390
Lexington, MA 02421
Item 2. Identity and Background.
Name of person filing:
FiveT Investment Management Ltd
FiveT Capital AG
Registered address or principle place of business:
FiveT Investment Management Ltd
c/o DMS Corporate Services, Suite 5B201, 2nd Floor, One Nexus Way,
Camana Bay, Grand Cayman, Cayman Islands KY1-1108
FiveT Capital AG
Allmendstrasse 140, 8041 Zurich, ZH, Switzerland
Item 5. Interest in Securities of the Issuer.
As of the date of this Schedule 13D, the Reporting Persons acquired an aggregate of 5,000,000 shares of Common Stock, consisting of 5,000,000 shares held by the FiveT Investment Management Ltd (the “Shares”). The Shares represent 8.91% of the Common Stock outstanding. Subsequently, the Reporting Persons sold an aggregate of 4,071,062 Shares. As of the date of this Schedule 13D, the Reporting Persons beneficially own an aggregate of 928,938 shares of Common Stock. The Shares represent 1.66% of the Common Stock outstanding.
Item 7. Material to Be Filed as Exhibits.
Schedule I
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| CUSIP No. 74584P202 |
| 13D |
| Page 5 of 6 Pages |
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Schedule I
This Schedule sets forth information with respect to each purchase and sale of Shares which was effectuated by a Reporting Person in the last 60 days since the date of the event which requires filing of this Statement.
Unless otherwise indicated, all transactions were effectuated in the open market through a broker.
| Trade Date | Shares Purchased (Sold) | Price Per Share ($) |
| 02/11/2021 | 5,000,000 | 2.00 |
| 02/11/2021 | (2,450,788) | 2.03 |
| 02/11/2021 | (75,300) | 2.22 |
| 02/12/2021 | (674’152) | 1.98 |
| 02/12/2021 | 113,945 | 1.99 |
| 02/16/2021 | (684,647) | 2.15 |
| 02/17/2021 | (10,560) | 2.17 |
| 02/22/2021 | (289,560) | 2.00 |
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| CUSIP No. 74584P202 |
| 13D |
| Page 6 of 6 Pages |
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SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
| FIVET INVESTMENT MANAGEMENT LTD |
| /s/ Wieland Kreuder |
| Authorized Person |
| February 22, 2021 |
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