SEC Form 4 · accession 0001019687-15-001080
Pulmatrix, Inc. · PULM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Oculus Innovative Sciences, Inc.
10% Owner
Period of report
Mar 23, 2015
Accepted (ET)
Mar 24, 2015 · 7:00 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 Stock, $0.0001 par value per shareF1,F2,F3 | Mar 23, 2015 | S | 350,000 | $2.75 | D | 1,650,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Such sale is subject to the retention of voting rights by the reporting person as described in more detail in the Schedule 13D filed with the U.S. Securities and Exchange Commission on March 23, 2015.
- F2The reporting person is the former parent company of the issuer.
- F3Each of the directors, officers and stockholders of Oculus Innovative Sciences, Inc. expressly disclaims beneficial ownership of any shares of common stock, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes.