Filing Details
- Accession Number:
- 0000899243-18-009612
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-04-05 20:21:08
- Reporting Period:
- 2018-04-03
- Accepted Time:
- 2018-04-05 20:21:08
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1574235 | Pulmatrix Inc. | PULM | () | MA |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1117003 | Terrance Mcguire | C/O Pulmatrix, Inc. 99 Hayden Ave., Suite 390 Lexington MA 02421 | Yes | No | Yes | No | |
| 1157864 | Polaris Venture Partners Iv Lp | One Marina Park Drive, 10Th Floor Boston MA 02210 | No | No | Yes | No | |
| 1170720 | Polaris Venture Partners Entrepreneurs Fund Iv Lp | One Marina Park Drive, 10Th Floor Boston MA 02210 | No | No | Yes | No | |
| 1295438 | Polaris Venture Management Co Iv Llc | One Marina Park Drive, 10Th Floor Boston MA 02210 | No | No | Yes | No | |
| 1295676 | A Jonathan Flint | One Marina Park Drive, 10Th Floor Boston MA 02210 | No | No | Yes | No | |
| 1439586 | Polaris Venture Partners Special Founders' Fund V, L.p. | One Marina Park Drive, 10Th Floor Boston MA 02210 | No | No | Yes | No | |
| 1439587 | Polaris Venture Partners Entrepreneurs' Fund V, L.p. | One Marina Park Drive, 10Th Floor Boston MA 02210 | No | No | Yes | No | |
| 1439588 | Polaris Venture Partners Founders' Fund V, L.p. | One Marina Park Drive, 10Th Floor Boston MA 02210 | No | No | Yes | No | |
| 1439589 | Polaris Venture Management Co. V, L.l.c. | One Marina Park Drive, 10Th Floor Boston MA 02210 | No | No | Yes | No | |
| 1439590 | Polaris Venture Partners V, L.p. | One Marina Park Drive, 10Th Floor Boston MA 02210 | No | No | Yes | 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 | 345,551 | $0.00 | 1,556,676 | No | 4 | P | Indirect | See Footnotes |
| Common Stock | Acquisiton | 2018-04-03 | 6,478 | $0.00 | 29,178 | No | 4 | P | Indirect | See Footnotes |
| Common Stock | Acquisiton | 2018-04-03 | 769,989 | $0.00 | 3,468,190 | No | 4 | P | Indirect | See Footnotes |
| Common Stock | Acquisiton | 2018-04-03 | 15,007 | $0.00 | 67,729 | No | 4 | P | Indirect | See Footnotes |
| Common Stock | Acquisiton | 2018-04-03 | 5,275 | $0.00 | 23,875 | No | 4 | P | Indirect | See Footnotes |
| Common Stock | Acquisiton | 2018-04-03 | 7,700 | $0.00 | 34,587 | No | 4 | P | Indirect | See Footnotes |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | See Footnotes |
| No | 4 | P | Indirect | See Footnotes |
| No | 4 | P | Indirect | See Footnotes |
| No | 4 | P | Indirect | See Footnotes |
| No | 4 | P | Indirect | See Footnotes |
| No | 4 | P | Indirect | See Footnotes |
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 | 345,551 | $0.00 | 345,551 | $0.65 |
| Common Stock | Series B Warrant (right to buy) | Acquisiton | 2018-04-03 | 345,551 | $0.00 | 345,551 | $0.75 |
| Common Stock | Series A Warrant (right to buy) | Acquisiton | 2018-04-03 | 6,478 | $0.00 | 6,478 | $0.65 |
| Common Stock | Series B Warrant (right to buy) | Acquisiton | 2018-04-03 | 6,478 | $0.00 | 6,478 | $0.75 |
| Common Stock | Series A Warrant (right to buy) | Acquisiton | 2018-04-03 | 769,989 | $0.00 | 769,989 | $0.65 |
| Common Stock | Series B Warrant (right to buy) | Acquisiton | 2018-04-03 | 769,989 | $0.00 | 769,989 | $0.75 |
| Common Stock | Series A Warrant (right to buy) | Acquisiton | 2018-04-03 | 15,007 | $0.00 | 15,007 | $0.65 |
| Common Stock | Series B Warrant (right to buy) | Acquisiton | 2018-04-03 | 15,007 | $0.00 | 15,007 | $0.75 |
| Common Stock | Series A Warrant (right to buy) | Acquisiton | 2018-04-03 | 5,275 | $0.00 | 5,275 | $0.65 |
| Common Stock | Series B Warrant (right to buy) | Acquisiton | 2018-04-03 | 5,275 | $0.00 | 5,275 | $0.75 |
| Common Stock | Series A Warrant (right to buy) | Acquisiton | 2018-04-03 | 7,700 | $0.00 | 7,700 | $0.65 |
| Common Stock | Series B Warrant (right to buy) | Acquisiton | 2018-04-03 | 7,700 | $0.00 | 7,700 | $0.75 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 345,551 | 2018-04-03 | 2018-10-03 | No | 4 | P | Indirect |
| 345,551 | 2018-04-03 | 2023-04-03 | No | 4 | P | Indirect |
| 6,478 | 2018-04-03 | 2018-10-03 | No | 4 | P | Indirect |
| 6,478 | 2018-04-03 | 2023-04-03 | No | 4 | P | Indirect |
| 769,989 | 2018-04-03 | 2018-10-03 | No | 4 | P | Indirect |
| 769,989 | 2018-04-03 | 2023-04-03 | No | 4 | P | Indirect |
| 15,007 | 2018-04-03 | 2018-10-03 | No | 4 | P | Indirect |
| 15,007 | 2018-04-03 | 2023-04-03 | No | 4 | P | Indirect |
| 5,275 | 2018-04-03 | 2018-10-03 | No | 4 | P | Indirect |
| 5,275 | 2018-04-03 | 2023-04-03 | No | 4 | P | Indirect |
| 7,700 | 2018-04-03 | 2018-10-03 | No | 4 | P | Indirect |
| 7,700 | 2018-04-03 | 2023-04-03 | No | 4 | P | Indirect |
Footnotes
- The reported securities were included within 345,551 Units purchased by Polaris Venture Partners IV, L.P. ("PVP IV") for $0.65 per Unit (each, a "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.
- Securities held of record by PVP IV.
- Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV.
- Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
- The reported securities were included within 6,478 Units purchased by PVPE IV.
- Securities held of record by PVPE IV.
- The reported securities were included within 769,989 Units purchased by Polaris Venture Partners V, L.P. ("PVP V").
- Securities held of record by PVP V.
- Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V.
- Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
- The reported securities were included within 15,007 Units purchased by PVPEF V.
- Securities held of record by PVPEF V.
- The reported securities were included within 5,275 Units purchased by PVPFF V.
- Securities held of record by PVPFF V.
- The reported securities were included within 7,700 Units purchased by PVPSFF V.
- Securities held of record by PVPSFF V.
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