4//SEC Filing
Polaris Venture Partners Founders' Fund V, L.P. 4
Accession 0001144204-15-037774
CIK 0001574235other
Filed
Jun 16, 8:00 PM ET
Accepted
Jun 17, 9:19 PM ET
Size
66.1 KB
Accession
0001144204-15-037774
Insider Transaction Report
Form 4
Pulmatrix, Inc.PULM
Transactions
- Award
Warrants to Purchase Common Stock
2015-06-15+351,448→ 351,448 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (351,448 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+7,832→ 7,832 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (7,832 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+15,264→ 15,264 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (15,264 underlying) - Award
Common Stock
2015-06-15+1,179,066→ 1,179,066 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+22,099→ 22,099 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+2,626,762→ 2,626,762 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+71,438$491,136→ 2,698,200 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+26,172→ 26,172 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+51,330→ 51,330 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+6,589→ 6,589 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (6,589 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+783,128→ 783,128 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (783,128 underlying) - Award
Stock Option (Right to Buy)
2015-06-15+17,710→ 17,710 totalExercise: $11.80Exp: 2025-06-15→ Common Stock (17,710 underlying) - Award
Common Stock
2015-06-15+18,110→ 18,110 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+489$3,362→ 18,599 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+714$4,909→ 26,886 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+1,392$9,570→ 52,692 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+5,365→ 5,365 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (5,365 underlying) - Purchase
Common Stock
2015-06-15$6.88/sh+32,059$220,406→ 1,211,125 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+601$4,132→ 22,700 total(indirect: See Footnotes)
Polaris Venture Partners V, L.P.
10% Owner
Transactions
- Purchase
Common Stock
2015-06-15$6.88/sh+32,059$220,406→ 1,211,125 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+714$4,909→ 26,886 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+1,392$9,570→ 52,692 total(indirect: See Footnotes) - Award
Stock Option (Right to Buy)
2015-06-15+17,710→ 17,710 totalExercise: $11.80Exp: 2025-06-15→ Common Stock (17,710 underlying) - Purchase
Common Stock
2015-06-15$6.88/sh+489$3,362→ 18,599 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+351,448→ 351,448 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (351,448 underlying) - Purchase
Common Stock
2015-06-15$6.88/sh+71,438$491,136→ 2,698,200 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+2,626,762→ 2,626,762 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+18,110→ 18,110 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+6,589→ 6,589 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (6,589 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+783,128→ 783,128 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (783,128 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+15,264→ 15,264 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (15,264 underlying) - Award
Common Stock
2015-06-15+26,172→ 26,172 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+22,099→ 22,099 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+51,330→ 51,330 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+1,179,066→ 1,179,066 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+601$4,132→ 22,700 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+5,365→ 5,365 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (5,365 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+7,832→ 7,832 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (7,832 underlying)
Transactions
- Purchase
Common Stock
2015-06-15$6.88/sh+32,059$220,406→ 1,211,125 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+2,626,762→ 2,626,762 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+71,438$491,136→ 2,698,200 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+26,172→ 26,172 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+1,392$9,570→ 52,692 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+6,589→ 6,589 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (6,589 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+783,128→ 783,128 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (783,128 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+15,264→ 15,264 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (15,264 underlying) - Award
Common Stock
2015-06-15+1,179,066→ 1,179,066 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+22,099→ 22,099 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+351,448→ 351,448 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (351,448 underlying) - Purchase
Common Stock
2015-06-15$6.88/sh+601$4,132→ 22,700 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+18,110→ 18,110 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+714$4,909→ 26,886 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+489$3,362→ 18,599 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+51,330→ 51,330 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+5,365→ 5,365 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (5,365 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+7,832→ 7,832 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (7,832 underlying) - Award
Stock Option (Right to Buy)
2015-06-15+17,710→ 17,710 totalExercise: $11.80Exp: 2025-06-15→ Common Stock (17,710 underlying)
Flint Jonathan A
10% Owner
Transactions
- Award
Warrants to Purchase Common Stock
2015-06-15+15,264→ 15,264 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (15,264 underlying) - Purchase
Common Stock
2015-06-15$6.88/sh+1,392$9,570→ 52,692 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+783,128→ 783,128 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (783,128 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+5,365→ 5,365 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (5,365 underlying) - Award
Common Stock
2015-06-15+22,099→ 22,099 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+71,438$491,136→ 2,698,200 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+714$4,909→ 26,886 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+601$4,132→ 22,700 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+18,110→ 18,110 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+351,448→ 351,448 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (351,448 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+7,832→ 7,832 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (7,832 underlying) - Award
Stock Option (Right to Buy)
2015-06-15+17,710→ 17,710 totalExercise: $11.80Exp: 2025-06-15→ Common Stock (17,710 underlying) - Award
Common Stock
2015-06-15+1,179,066→ 1,179,066 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+32,059$220,406→ 1,211,125 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+2,626,762→ 2,626,762 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+489$3,362→ 18,599 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+26,172→ 26,172 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+51,330→ 51,330 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+6,589→ 6,589 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (6,589 underlying)
Polaris Venture Management Co IV LLC
10% Owner
Transactions
- Purchase
Common Stock
2015-06-15$6.88/sh+601$4,132→ 22,700 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+351,448→ 351,448 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (351,448 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+5,365→ 5,365 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (5,365 underlying) - Award
Common Stock
2015-06-15+1,179,066→ 1,179,066 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+32,059$220,406→ 1,211,125 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+2,626,762→ 2,626,762 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+26,172→ 26,172 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+51,330→ 51,330 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+6,589→ 6,589 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (6,589 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+15,264→ 15,264 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (15,264 underlying) - Award
Stock Option (Right to Buy)
2015-06-15+17,710→ 17,710 totalExercise: $11.80Exp: 2025-06-15→ Common Stock (17,710 underlying) - Award
Common Stock
2015-06-15+22,099→ 22,099 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+71,438$491,136→ 2,698,200 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+18,110→ 18,110 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+489$3,362→ 18,599 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+714$4,909→ 26,886 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+1,392$9,570→ 52,692 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+7,832→ 7,832 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (7,832 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+783,128→ 783,128 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (783,128 underlying)
Transactions
- Award
Stock Option (Right to Buy)
2015-06-15+17,710→ 17,710 totalExercise: $11.80Exp: 2025-06-15→ Common Stock (17,710 underlying) - Award
Common Stock
2015-06-15+1,179,066→ 1,179,066 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+22,099→ 22,099 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+489$3,362→ 18,599 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+351,448→ 351,448 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (351,448 underlying) - Award
Common Stock
2015-06-15+2,626,762→ 2,626,762 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+18,110→ 18,110 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+714$4,909→ 26,886 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+1,392$9,570→ 52,692 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+6,589→ 6,589 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (6,589 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+783,128→ 783,128 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (783,128 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+5,365→ 5,365 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (5,365 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+15,264→ 15,264 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (15,264 underlying) - Purchase
Common Stock
2015-06-15$6.88/sh+32,059$220,406→ 1,211,125 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+601$4,132→ 22,700 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+71,438$491,136→ 2,698,200 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+26,172→ 26,172 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+51,330→ 51,330 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+7,832→ 7,832 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (7,832 underlying)
POLARIS VENTURE PARTNERS IV LP
10% Owner
Transactions
- Award
Common Stock
2015-06-15+22,099→ 22,099 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+2,626,762→ 2,626,762 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+15,264→ 15,264 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (15,264 underlying) - Award
Common Stock
2015-06-15+1,179,066→ 1,179,066 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+71,438$491,136→ 2,698,200 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+18,110→ 18,110 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+714$4,909→ 26,886 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+351,448→ 351,448 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (351,448 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+783,128→ 783,128 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (783,128 underlying) - Award
Common Stock
2015-06-15+51,330→ 51,330 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+1,392$9,570→ 52,692 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+6,589→ 6,589 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (6,589 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+5,365→ 5,365 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (5,365 underlying) - Purchase
Common Stock
2015-06-15$6.88/sh+32,059$220,406→ 1,211,125 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+601$4,132→ 22,700 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+489$3,362→ 18,599 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+26,172→ 26,172 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+7,832→ 7,832 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (7,832 underlying) - Award
Stock Option (Right to Buy)
2015-06-15+17,710→ 17,710 totalExercise: $11.80Exp: 2025-06-15→ Common Stock (17,710 underlying)
MCGUIRE TERRANCE
Director10% Owner
Transactions
- Award
Common Stock
2015-06-15+1,179,066→ 1,179,066 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+22,099→ 22,099 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+18,110→ 18,110 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+71,438$491,136→ 2,698,200 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+351,448→ 351,448 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (351,448 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+6,589→ 6,589 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (6,589 underlying) - Purchase
Common Stock
2015-06-15$6.88/sh+32,059$220,406→ 1,211,125 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+2,626,762→ 2,626,762 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+489$3,362→ 18,599 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+714$4,909→ 26,886 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+26,172→ 26,172 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+1,392$9,570→ 52,692 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+783,128→ 783,128 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (783,128 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+15,264→ 15,264 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (15,264 underlying) - Award
Stock Option (Right to Buy)
2015-06-15+17,710→ 17,710 totalExercise: $11.80Exp: 2025-06-15→ Common Stock (17,710 underlying) - Purchase
Common Stock
2015-06-15$6.88/sh+601$4,132→ 22,700 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+51,330→ 51,330 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+5,365→ 5,365 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (5,365 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+7,832→ 7,832 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (7,832 underlying)
Transactions
- Award
Warrants to Purchase Common Stock
2015-06-15+351,448→ 351,448 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (351,448 underlying) - Purchase
Common Stock
2015-06-15$6.88/sh+32,059$220,406→ 1,211,125 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+601$4,132→ 22,700 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+489$3,362→ 18,599 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+5,365→ 5,365 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (5,365 underlying) - Purchase
Common Stock
2015-06-15$6.88/sh+71,438$491,136→ 2,698,200 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+26,172→ 26,172 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+51,330→ 51,330 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+22,099→ 22,099 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+18,110→ 18,110 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+714$4,909→ 26,886 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+1,392$9,570→ 52,692 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+6,589→ 6,589 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (6,589 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+7,832→ 7,832 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (7,832 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+15,264→ 15,264 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (15,264 underlying) - Award
Stock Option (Right to Buy)
2015-06-15+17,710→ 17,710 totalExercise: $11.80Exp: 2025-06-15→ Common Stock (17,710 underlying) - Award
Common Stock
2015-06-15+1,179,066→ 1,179,066 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+2,626,762→ 2,626,762 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+783,128→ 783,128 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (783,128 underlying)
Transactions
- Award
Warrants to Purchase Common Stock
2015-06-15+351,448→ 351,448 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (351,448 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+783,128→ 783,128 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (783,128 underlying) - Award
Common Stock
2015-06-15+18,110→ 18,110 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+26,172→ 26,172 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+1,392$9,570→ 52,692 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+2,626,762→ 2,626,762 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+6,589→ 6,589 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (6,589 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+15,264→ 15,264 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (15,264 underlying) - Purchase
Common Stock
2015-06-15$6.88/sh+714$4,909→ 26,886 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+1,179,066→ 1,179,066 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+32,059$220,406→ 1,211,125 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+22,099→ 22,099 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+601$4,132→ 22,700 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+71,438$491,136→ 2,698,200 total(indirect: See Footnotes) - Purchase
Common Stock
2015-06-15$6.88/sh+489$3,362→ 18,599 total(indirect: See Footnotes) - Award
Common Stock
2015-06-15+51,330→ 51,330 total(indirect: See Footnotes) - Award
Warrants to Purchase Common Stock
2015-06-15+5,365→ 5,365 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (5,365 underlying) - Award
Warrants to Purchase Common Stock
2015-06-15+7,832→ 7,832 total(indirect: See Footnotes)Exercise: $7.56→ Common Stock (7,832 underlying) - Award
Stock Option (Right to Buy)
2015-06-15+17,710→ 17,710 totalExercise: $11.80Exp: 2025-06-15→ Common Stock (17,710 underlying)
Footnotes (26)
- [F1]Reflects a 1-for-2.5 reverse stock split effected on June 15, 2015.
- [F10]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. (continue on footnote 11)
- [F11](continued from footnote 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 pecuniary interest therein.
- [F12]On June 15, 2015, PVPFF V received these shares of the Issuer's Common Stock in exchange for securities of the Former Entity in connection with the Merger.
- [F13]Represents securities of the Issuer owned directly by PVPFF V.
- [F14]On June 15, 2015, PVPSFF V received these shares of the Issuer's Common Stock in exchange for securities of the Former Entity in connection with the Merger.
- [F15]Represents securities of the Issuer owned directly by PVPSFF V.
- [F16]On June 15, 2015, PVPEF V received these shares of the Issuer's Common Stock in exchange for securities of the Former Entity in connection with the Merger.
- [F17]Represents securities of the Issuer owned directly by PVPEF V.
- [F18]These warrants are exercisable (the "Initial Exercise Date") upon the earliest to occur of (a) the Issuer entering into a strategic license agreement with a third party related to any of the Issuer's products pursuant to which the Issuer is guaranteed to receive consideration from such third party consisting of cash, marketable securities or a combination thereof having a value of at least $20,000,000 in the aggregate; (b) the Issuer consummating a public or private offering of Common Stock or common stock equivalents resulting in gross proceeds to the Issuer of at least $20,000,000 at a price per share of at least $4.00 (subject to adjustment for stock splits, reverse stock splits, stock dividends and other similar events, but no adjustment shall be made in respect of the Merger); (continue on footnote 19)
- [F19](continued from footnote 18) (c) the volume weighted average price per share of Common Stock exceeding $5.00 (subject to adjustment for stock splits, reverse stock splits, stock dividends and other similar events, but no adjustment shall be made in respect of the Merger) for a period of sixty consecutive trading days and the average daily trading volume exceeds 100,000 (subject to adjustment for stock splits, reverse stock splits, stock dividends and other similar events, but no adjustment shall be made in respect of the Merger) shares of Common Stock per trading day; or (d) a change of control. These warrants expire five years from the Initial Exercise Date.
- [F2]On June 15, 2015, Polaris Venture Partners IV, L.P. ("PVP IV") received these shares of the Issuer's Common Stock in exchange for securities of the company formerly known as Pulmatrix, Inc. (the "Former Entity") in connection with the merger of the Former Entity into the Issuer (the "Merger").
- [F20]On June 15, 2015, PVPE IV received these warrants to purchase shares of the Issuer's Common Stock in exchange for warrants to purchase 111,153 shares of common stock of the Former Entity with an exercise price of $0.448266 in connection with the Merger.
- [F21]On June 15, 2015, PVP IV received these warrants to purchase shares of the Issuer's Common Stock in exchange for warrants to purchase 5,929,112 shares of common stock of the Former Entity with an exercise price of $0.448266 in connection with the Merger.
- [F22]On June 15, 2015, PVP V received these warrants to purchase shares of the Issuer's Common Stock in exchange for warrants to purchase 13,211,794 shares of common stock of the Former Entity with an exercise price of $0.448266 in connection with the Merger.
- [F23]On June 15, 2015, PVPFF V received these warrants to purchase shares of the Issuer's Common Stock in exchange for warrants to purchase 90,502 shares of common stock of the Former Entity with an exercise price of $0.448266 in connection with the Merger.
- [F24]On June 15, 2015, PVPSFF V received these warrants to purchase shares of the Issuer's Common Stock in exchange for warrants to purchase 132,117 shares of common stock of the Former Entity with an exercise price of $0.448266 in connection with the Merger.
- [F25]On June 15, 2015, PVPEF V received these warrants to purchase shares of the Issuer's Common Stock in exchange for warrants to purchase 257,499 shares of common stock of the Former Entity with an exercise price of $0.448266 in connection with the Merger.
- [F26]The option vests as to 2.08% monthly for 48 months from the date of grant.
- [F3]Represents securities of the Issuer owned directly by PVP IV.
- [F4]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. (continue on footnote 5)
- [F5](continued from footnote 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 pecuniary interest therein.
- [F6]On June 15, 2015, PVPE IV received these shares of the Issuer's Common Stock in exchange for securities of the Former Entity in connection with the Merger.
- [F7]Represents securities of the Issuer owned directly by PVPE IV.
- [F8]On June 15, 2015, Polaris Venture Partners V, L.P. ("PVP V") received these shares of the Issuer's Common Stock in exchange for securities of the Former Entity in connection with the Merger.
- [F9]Represents securities of the Issuer owned directly by PVP V.
Documents
Issuer
Pulmatrix, Inc.
CIK 0001574235
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001439588
Filing Metadata
- Form type
- 4
- Filed
- Jun 16, 8:00 PM ET
- Accepted
- Jun 17, 9:19 PM ET
- Size
- 66.1 KB