0001493152-21-017971.txt : 20210728 0001493152-21-017971.hdr.sgml : 20210728 20210728150257 ACCESSION NUMBER: 0001493152-21-017971 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210726 FILED AS OF DATE: 20210728 DATE AS OF CHANGE: 20210728 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Varadan Anand CENTRAL INDEX KEY: 0001650456 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36199 FILM NUMBER: 211122091 MAIL ADDRESS: STREET 1: C/O CHIASMA, INC. STREET 2: 60 WELLS AVENUE CITY: NEWTON STATE: MA ZIP: 02459 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 2021-07-26 0 0001574235 Pulmatrix, Inc. PULM 0001650456 Varadan Anand C/O PULMATRIX, INC., 99 HAYDEN AVE, SUITE 390 LEXINGTON MA 02421 1 0 0 0 Stock Option (Right to Buy) 0.87 2021-07-26 4 A 0 30000 0 A 2031-07-26 Common Stock 30000 30000 D One-fourth (1/4) of the shares underlying this stock option will vest and become exercisable on the first anniversary of the date of grant, and an additional 2.083% of the shares underlying the options will vest on the last day of each of the thirty-six (36) months that follow the first anniversary of the date of grant, 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/ Anand Varadan 2021-07-28