Pulmatrix, Inc. 4

4 · Pulmatrix, Inc. · Filed Jun 17, 2015

Insider Transaction Report

Form 4

Period: 2015-06-15

Pulmatrix, Inc.PULM

Hava David L.

Chief Scientific Officer

Transactions

Award
Stock Option (Right to Buy)
2015-06-15+3,555→ 3,555 total
Exercise: $2.20Exp: 2020-02-10→ Common Stock (3,555 underlying)
Award
Stock Option (Right to Buy)
2015-06-15+804→ 804 total
Exercise: $2.20Exp: 2020-05-24→ Common Stock (804 underlying)
Award
Stock Option (Right to Buy)
2015-06-15+2,964→ 2,964 total
Exercise: $2.20Exp: 2021-06-15→ Common Stock (2,964 underlying)
Award
Common Stock
2015-06-15+4,863→ 4,863 total
Award
Stock Option (Right to Buy)
2015-06-15+2,668→ 2,668 total
Exercise: $2.20Exp: 2021-02-03→ Common Stock (2,668 underlying)
Award
Stock Option (Right to Buy)
2015-06-16+267,129→ 267,129 total
Exercise: $11.80Exp: 2025-06-16→ Common Stock (267,129 underlying)
Award
Stock Option (Right to Buy)
2015-06-15+13,041→ 13,041 total
Exercise: $2.03Exp: 2022-12-14→ Common Stock (13,041 underlying)
Award
Stock Option (Right to Buy)
2015-06-15+5,928→ 5,928 total
Exercise: $2.03Exp: 2022-06-08→ Common Stock (5,928 underlying)
Award
Stock Option (Right to Buy)
2015-06-15+11,855→ 11,855 total
Exercise: $2.03Exp: 2022-06-08→ Common Stock (11,855 underlying)
Award
Stock Option (Right to Buy)
2015-06-15+14,819→ 14,819 total
Exercise: $1.88Exp: 2023-08-26→ Common Stock (14,819 underlying)

Footnotes (14)

[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 200,000 shares for $0.12 per share of common stock of the Former Entity.
[F11]These securities were received in the Merger in exchange for a stock option to acquire 220,000 shares for $0.12 per share of common stock of the Former Entity.
[F12]These securities were received in the Merger in exchange for a stock option to acquire 250,000 shares for $0.11 per share of common stock of the Former Entity.
[F13]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.
[F14]The option vests as to 2.08% monthly for 48 months from the date of grant.
[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 59,965 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 13,566 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 45,000 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 50,000 shares for $0.13 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 100,000 shares for $0.12 per share of common stock of the Former Entity.

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