Filing Details
- Accession Number:
- 0000899243-18-009608
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-04-05 20:07:29
- Reporting Period:
- 2018-04-03
- Accepted Time:
- 2018-04-05 20:07:29
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1574235 | Pulmatrix Inc. | PULM | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1325710 | L Matthew Sherman | C/O Pulmatrix, Inc., 99 Hayden Ave., Suite 390 Lexington MA 02421 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2018-04-03 | 20,000 | $0.00 | 20,000 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Warrant (right to buy) | Acquisiton | 2018-04-03 | 20,000 | $0.00 | 20,000 | $0.65 |
| Common Stock | Series B Warrant (right to buy) | Acquisiton | 2018-04-03 | 20,000 | $0.00 | 20,000 | $0.75 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 20,000 | 2018-04-03 | 2018-10-03 | No | 4 | P | Direct |
| 20,000 | 2018-04-03 | 2023-04-03 | No | 4 | P | Direct |
Footnotes
- The reported securities were included within 20,000 Units purchased by the reporting person for $0.65 per Unit. Each Unit consisted of one share of common stock, one Series A Warrant to purchase one share of common stock at an exercise price of $0.65 per share, and one Series B Warrant to purchase one share of common stock at an exercise price of $0.75 per share.
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