SEC Form 4 · accession 0000899243-17-008412
Pulmatrix, Inc. · PULM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew L Sherman
Director
Period of report
Mar 20, 2017
Accepted (ET)
Mar 22, 2017 · 6:51 pm EDT
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 | $2.78 | Mar 20, 2017 | A | 4,400 | A | — | Mar 20, 2027 | Common Stock | 4,400 | 4,400 | D |
Explanation of responses
- F1One-fourth (1/4) of the option vests on March 20, 2018 and the remainder vests in thirty-six (36) equal monthly installments with 2.083% vesting for each of the next thirty-six (36) months that follow March 20, 2018, provided that the reporting person is providing services to the Issuer on the applicable vesting date and subject to the terms and conditions of the Pulmatrix, Inc. 2013 Employee, Director and Consultant Equity Incentive Plan.