4//SEC Filing
Pulmatrix, Inc. 4
Accession 0001144204-15-037757
$PULMCIK 0001574235operating
Filed
Jun 16, 8:00 PM ET
Accepted
Jun 17, 8:26 PM ET
Size
22.5 KB
Accession
0001144204-15-037757
Insider Transaction Report
Form 4
Pulmatrix, Inc.PULM
Clarke Robert W.
DirectorChief Executive Officer
Transactions
- Award
Stock Option (Right to Buy)
2015-06-15+2,413→ 2,413 totalExercise: $2.20Exp: 2020-05-24→ Common Stock (2,413 underlying) - Award
Stock Option (Right to Buy)
2015-06-15+65,626→ 65,625 totalExercise: $1.88Exp: 2023-10-11→ Common Stock (65,625 underlying) - Award
Stock Option (Right to Buy)
2015-06-15+11,855→ 11,855 totalExercise: $2.20Exp: 2021-06-15→ Common Stock (11,855 underlying) - Award
Stock Option (Right to Buy)
2015-06-15+171,009→ 171,009 totalExercise: $2.03Exp: 2022-09-18→ Common Stock (171,009 underlying) - Award
Stock Option (Right to Buy)
2015-06-16+407,907→ 407,907 totalExercise: $11.80Exp: 2025-06-16→ Common Stock (407,907 underlying) - Award
Common Stock
2015-06-15+18,667→ 18,667 total - Award
Stock Option (Right to Buy)
2015-06-15+7,190→ 7,190 totalExercise: $2.20Exp: 2020-02-10→ Common Stock (7,190 underlying) - Award
Stock Option (Right to Buy)
2015-06-15+23,710→ 23,710 totalExercise: $2.03Exp: 2022-06-08→ Common Stock (23,710 underlying)
Footnotes (12)
- [F1]Reflects a 1-for-2.5 reverse stock split effected on June 15, 2015.
- [F10]These securities were received in the Merger in exchange for a stock option to acquire 1,071,120 shares for $0.11 per share of common stock of the Former Entity.
- [F11]These options vested/vest over a four-year period, with 50% vesting on the first anniversary of the initial date of grant by the Former Entity and 4.167% vesting each month thereafter for twelve months.
- [F12]These options vest as to 25% on June 15, 2016 and 2.08% monthly thereafter. In the event of a change of control of the Issuer, the option shall become vested in full.
- [F2]On June 15, 2015, the Reporting Person received these shares of the Issuer's Common Stock in exchange for securities of a private company formerly known as Pulmatrix, Inc. (the "Former Entity") in connection with the merger of the Former Entity into the Issuer (the "Merger").
- [F3]These securities were received in the Merger in exchange for a stock option to acquire 121,293 shares for $0.13 per share of common stock of the Former Entity.
- [F4]These options are fully vested and exercisable.
- [F5]These securities were received in the Merger in exchange for a stock option to acquire 40,699 shares for $0.13 per share of common stock of the Former Entity.
- [F6]These securities were received in the Merger in exchange for a stock option to acquire 200,000 shares for $0.13 per share of common stock of the Former Entity.
- [F7]These options vested/vest over a four-year period, with 25% vesting on the first anniversary of the initial date of grant by the Former Entity and 2.083% vesting each month thereafter for thirty-six months.
- [F8]These securities were received in the Merger in exchange for a stock option to acquire 400,000 shares for $0.12 per share of common stock of the Former Entity.
- [F9]These securities were received in the Merger in exchange for a stock option to acquire 2,885,000 shares for $0.12 per share of common stock of the Former Entity.
Documents
Issuer
Pulmatrix, Inc.
CIK 0001574235
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001574235
Filing Metadata
- Form type
- 4
- Filed
- Jun 16, 8:00 PM ET
- Accepted
- Jun 17, 8:26 PM ET
- Size
- 22.5 KB