SEC Form 4 · accession 0000899243-16-014357
Pulmatrix, Inc. · PULM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William E. Duke
Officer — Chief Financial Officer
Period of report
Feb 3, 2016
Accepted (ET)
Feb 25, 2016 · 5:54 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001574235
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1 | $2.80 | Feb 3, 2016 | A | 150,200 | A | — | Feb 3, 2026 | Common Stock | 150,200 | 150,200 | D |
Explanation of responses
- F1The option vests as to 25% on February 3, 2017 and the remaining 75% vests in thirty-six (36) equal monthly installments with 2.083% vesting on the last day of each of the next thirty-six (36) months that follow February 3, 2017, subject to the terms and conditions of the Pulmatrix, Inc. Amended and Restated 2013 Employee, Director and Consultant Equity Incentive Plan.