0001493152-21-002325.txt : 20210201 0001493152-21-002325.hdr.sgml : 20210201 20210201214528 ACCESSION NUMBER: 0001493152-21-002325 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210128 FILED AS OF DATE: 20210201 DATE AS OF CHANGE: 20210201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Higgins Michael J CENTRAL INDEX KEY: 0001478521 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36199 FILM NUMBER: 21578766 MAIL ADDRESS: STREET 1: C/O GENOCEA BIOSCIENCES, INC. STREET 2: 100 ACORN PARK DRIVE, 5TH FLOOR CITY: CAMBRIDGE STATE: MA ZIP: 02140 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 ownership.xml X0306 4 2021-01-28 0 0001574235 Pulmatrix, Inc. PULM 0001478521 Higgins Michael J C/O PULMATRIX, INC., 99 HAYDEN AVE LEXINGTON MA 02421 1 0 0 0 Stock Option (Right to Buy) 1.47 2021-01-28 4 A 0 25000 0 A 2031-01-28 Common Stock 25000 25000 D The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant, with the first tranche vesting on January 28, 2021, 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. Amended and Restated 2013 Employee, Director and Consultant Equity Incentive Plan. /s/ Michael Higgins 2021-02-01