0000899243-18-009614.txt : 20180405
0000899243-18-009614.hdr.sgml : 20180405
20180405202727
ACCESSION NUMBER: 0000899243-18-009614
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180403
FILED AS OF DATE: 20180405
DATE AS OF CHANGE: 20180405
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BYBEE CLINTON
CENTRAL INDEX KEY: 0001219043
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36199
FILM NUMBER: 18741754
MAIL ADDRESS:
STREET 1: 8755 W. HIGGINS ROAD
STREET 2: SUITE 1025
CITY: CHICAGO
STATE: IL
ZIP: 60631
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CRANDELL KEITH
CENTRAL INDEX KEY: 0001219039
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36199
FILM NUMBER: 18741755
MAIL ADDRESS:
STREET 1: 8755 W. HIGGINS ROAD
STREET 2: SUITE 1025
CITY: CHICAGO
STATE: IL
ZIP: 60631
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GILLIS STEVEN
CENTRAL INDEX KEY: 0001229592
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36199
FILM NUMBER: 18741759
MAIL ADDRESS:
STREET 1: 8755 W. HIGGINS ROAD
STREET 2: SUITE 1025
CITY: CHICAGO
STATE: IL
ZIP: 60631
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: NELSEN ROBERT
CENTRAL INDEX KEY: 0001219042
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36199
FILM NUMBER: 18741753
MAIL ADDRESS:
STREET 1: 8755 W. HIGGINS ROAD
STREET 2: SUITE 1025
CITY: CHICAGO
STATE: IL
ZIP: 60631
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Arch Venture Fund VII LP
CENTRAL INDEX KEY: 0001402439
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36199
FILM NUMBER: 18741758
BUSINESS ADDRESS:
STREET 1: 8755 W HIGGINS
STREET 2: SUITE 1025
CITY: Chicago
STATE: IL
ZIP: 60631
BUSINESS PHONE: 773-380-6600
MAIL ADDRESS:
STREET 1: 8755 W HIGGINS
STREET 2: SUITE 1025
CITY: Chicago
STATE: IL
ZIP: 60631
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ARCH Venture Partners VII, LLC
CENTRAL INDEX KEY: 0001544443
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36199
FILM NUMBER: 18741756
BUSINESS ADDRESS:
STREET 1: 8755 W. HIGGINS ROAD
STREET 2: SUITE 1025
CITY: CHICAGO
STATE: IL
ZIP: 60631
BUSINESS PHONE: 773-380-6600
MAIL ADDRESS:
STREET 1: 8755 W. HIGGINS ROAD
STREET 2: SUITE 1025
CITY: CHICAGO
STATE: IL
ZIP: 60631
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ARCH Venture Partners VII, L.P.
CENTRAL INDEX KEY: 0001544444
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36199
FILM NUMBER: 18741757
BUSINESS ADDRESS:
STREET 1: 8755 W. HIGGINS ROAD
STREET 2: SUITE 1025
CITY: CHICAGO
STATE: IL
ZIP: 60631
BUSINESS PHONE: 773-380-6600
MAIL ADDRESS:
STREET 1: 8755 W. HIGGINS ROAD
STREET 2: SUITE 1025
CITY: CHICAGO
STATE: IL
ZIP: 60631
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Pulmatrix, Inc.
CENTRAL INDEX KEY: 0001574235
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 461821392
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 99 HAYDEN AVENUE
STREET 2: SUITE 390
CITY: LEXINGTON
STATE: MA
ZIP: 02421
BUSINESS PHONE: (781) 357-2333
MAIL ADDRESS:
STREET 1: 99 HAYDEN AVENUE
STREET 2: SUITE 390
CITY: LEXINGTON
STATE: MA
ZIP: 02421
FORMER COMPANY:
FORMER CONFORMED NAME: Ruthigen, Inc.
DATE OF NAME CHANGE: 20130411
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-04-03
0
0001574235
Pulmatrix, Inc.
PULM
0001229592
GILLIS STEVEN
8755 W HIGGINS, SUITE 1025
CHICAGO
IL
60631
1
0
0
0
0001402439
Arch Venture Fund VII LP
8755 W HIGGINS, SUITE 1025
CHICAGO
IL
60631
0
0
0
1
Former 10% owner
0001544444
ARCH Venture Partners VII, L.P.
8755 W. HIGGINS ROAD SUITE 1025
CHICAGO
IL
60631
0
0
0
1
Former 10% owner
0001544443
ARCH Venture Partners VII, LLC
8755 W. HIGGINS ROAD SUITE 1025
CHICAGO
IL
60631
0
0
0
1
Former 10% owner
0001219039
CRANDELL KEITH
C/O ARCH VENTURE FUND VII
8755 WEST HIGGINS ROAD, SUITE 1025
CHICAGO
IL
60631
0
0
0
1
Former 10% owner
0001219043
BYBEE CLINTON
C/O ARCH VENTURE FUND VII
8755 WEST HIGGINS ROAD, SUITE 1025
CHICAGO
IL
60631
0
0
0
1
Former 10% owner
0001219042
NELSEN ROBERT
C/O ARCH VENTURE FUND VII
8755 WEST HIGGINS ROAD, SUITE 1025
CHICAGO
IL
60631
0
0
0
1
Former 10% owner
Common Stock
2018-04-03
4
P
0
1150000
A
3436456
I
See Footnotes
Series A Warrant (right to buy)
0.65
2018-04-03
4
P
0
1150000
A
2018-04-03
2018-10-03
Common Stock
1150000
1150000
I
See Footnotes
Series B Warrant (right to buy)
0.75
2018-04-03
4
P
0
1150000
A
2018-04-03
2023-04-03
Common Stock
1150000
1150000
I
See Footnotes
The reported securities were included within 1,150,000 Units purchased by ARCH Venture Fund VII, L.P. ("ARCH VII") 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.
Securities held of record byARCH VII. The sole general partner of ARCH VII is ARCH Venture Partners VII, L.P. ("ARCH Partners VII"), which may be deemed to have shared voting and investment power over the shares held by ARCH VII. The sole general partner of ARCH Partners VII is ARCH Venture Partners VII, LLC ("ARCH VII LLC"), which may be deemed to have shared voting and investment power over the shares held by ARCH VII. ARCH Partners VII and ARCH VII LLC disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
The managing directors of ARCH VII LLC are Keith Crandell, Clinton Bybee and Robert Nelsen and they may be deemed to have shared voting and investment power over the shares held by ARCH VII. Dr. Steve Gillis owns an interest in ARCH Partners VII, but does not have dispositive or voting power. Messrs. Crandell, Bybee and Nelsen and Dr. Gillis disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
/s/ Steve Gillis
2018-04-05
/s/ Mark McDonnell, as Attorney-in-Fact for Keith Crandell, Managing Director of the general partner of the general partner of ARCH Venture Fund VII, L.P.
2018-04-05
/s/ Mark McDonnell, as Attorney-in-Fact for Keith Crandell, Managing Director of the general partner of ARCH Venture Partners VII, L.P.
2018-04-05
/s/ Mark McDonnell, as Attorney-in-Fact for Keith Crandell, Managing Director of ARCH Venture Partners VII, LLC
2018-04-05
/s/ Mark McDonnell, as Attorney-in-Fact for Keith Crandell
2018-04-05
/s/ Mark McDonnell, as Attorney-in-Fact for Clinton Bybee
2018-04-05
/s/ Mark McDonnell, as Attorney-in-Fact for Robert Nelsen
2018-04-05