You can access the original SEC filing by clicking here.
Ownership Summary Table
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| 5AM Ventures | 251,188 | 287,027 | 251,188 | 287,027 | 251,188 | 1.41% |
| 5AM Co-Investors | , | 287,027 | , | 287,027 | 35,839 | 0.20% |
| 5AM Partners | 35,839 | 297,250 | 35,839 | 297,250 | 287,027 | 1.61% |
| Dr. John Diekman ( Diekman ) | , | , | 287,027 | 1.61% | ||
| Andrew Schwab ( Schwab ) | 287,027 | 287,027 | 287,027 | 1.61% | ||
| Dr. Scott Rocklage ( Rocklage ) | , | , | 297,250 | 1.67% |
Page 1 of 11 – SEC Filing
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| SECURITIES AND EXCHANGE COMMISSION |
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| Washington, D.C. 20549 |
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| SCHEDULE 13D (RULE 13d-101) |
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INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a)
AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a)
(Amendment No. 1)*
Pulmatrix, Inc.
(Name of Issuer)
Common Stock, par value $0.0001 per share
(Title of Class of Securities)
74584P103
(CUSIP Number)
Paul A. Stone
5AM Partners, LLC
2200 Sand Hill Road, Suite 110
Menlo Park, CA 94025
(650) 233-8600
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
COPY TO:
Darren DeStefano
Cooley LLP
One Freedom Square
Reston Town Center
11951 Freedom Drive
Reston, Virginia 20190-5656
(703) 456-8034
March 14, 2017
(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 o
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 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.
This 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).
