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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
  1. 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.
  2. Securities held of record by PVP IV.
  3. 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.
  4. 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.
  5. The reported securities were included within 6,478 Units purchased by PVPE IV.
  6. Securities held of record by PVPE IV.
  7. The reported securities were included within 769,989 Units purchased by Polaris Venture Partners V, L.P. ("PVP V").
  8. Securities held of record by PVP V.
  9. 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.
  10. 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.
  11. The reported securities were included within 15,007 Units purchased by PVPEF V.
  12. Securities held of record by PVPEF V.
  13. The reported securities were included within 5,275 Units purchased by PVPFF V.
  14. Securities held of record by PVPFF V.
  15. The reported securities were included within 7,700 Units purchased by PVPSFF V.
  16. Securities held of record by PVPSFF V.