SEC Form 4 · accession 0000899243-18-009609
Pulmatrix, Inc. · PULM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark T Iwicki
Director
Period of report
Apr 3, 2018
Accepted (ET)
Apr 5, 2018 · 8:07 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001574235
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 3, 2018 | P$0 | 307,000 | — | A | 307,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Warrant (right to buy)F1 | $0.65 | Apr 3, 2018 | P | 307,000 | A | Apr 3, 2018 | Oct 3, 2018 | Common Stock | 307,000 | 307,000 | D |
| Series B Warrant (right to buy)F1 | $0.75 | Apr 3, 2018 | P | 307,000 | A | Apr 3, 2018 | Apr 3, 2023 | Common Stock | 307,000 | 307,000 | D |
Explanation of responses
- F1The reported securities were included within 307,000 Units purchased by the reporting person for $0.65 per Unit. Each Unit consisted of one share of common stock, one Series A Warrant to purchase one share of common stock at an exercise price of $0.65 per share, and one Series B Warrant to purchase one share of common stock at an exercise price of $0.75 per share.