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Pulmatrix, Inc. — Director's Dealing 2019
Nov 20, 2019
35037_dirs_2019-11-20_c78a591b-e9d4-4a53-bf07-1a16d1d56c62.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Pulmatrix, Inc. (PULM)
CIK: 0001574235
Period of Report: 2019-11-13
Reporting Person: Siegert Michelle (Vice President, Finance)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1186 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $22.10 | 2021-09-20 | Common Stock (119) | Direct | |
| Employee Stock Option (Right to Buy) | $20.30 | 2022-06-08 | Common Stock (445) | Direct | |
| Employee Stock Option (Right to Buy) | $18.80 | 2023-10-11 | Common Stock (315) | Direct | |
| Employee Stock Option (Right to Buy) | $118.00 | 2025-06-16 | Common Stock (1087) | Direct | |
| Employee Stock Option (Right to Buy) | $110.00 | 2025-06-24 | Common Stock (160) | Direct | |
| Employee Stock Option (Right to Buy) | $59.10 | 2025-08-13 | Common Stock (1500) | Direct | |
| Employee Stock Option (Right to Buy) | $28.00 | 2026-02-03 | Common Stock (1320) | Direct | |
| Employee Stock Option (Right to Buy) | $27.80 | 2027-03-20 | Common Stock (660) | Direct | |
| Employee Stock Option (Right to Buy) | $4.68 | 2028-06-05 | Common Stock (18100) | Direct | |
| Employee Stock Option (Right to Buy) | $1.06 | 2029-05-16 | Common Stock (25000) | Direct |
Footnotes
F1: Twenty five percent (25%) of the shares subject to the option vested on February 3, 2017, and the remaining Seventy Five Percent (75%) of the shares shall vest in equal monthly installments for thirty six (36) successive months after February 3, 2017. 1,239 shares subject to this option are vested and currently exercisable.
F2: Twenty five percent (25%) of the shares subject to the option vested on March 20, 2018, and the remaining Seventy Five Percent (75%) of the shares shall vest in equal installments for thirty six (36) successive months after March 20, 2018. 431 shares subject to this option are vested and currently exercisable.
F3: This grant is a combination of an employee stock option (right to buy) and a non-qualified stock option (right to buy) (the "Combined Option"). Twenty five percent (25%) of the shares subject to the Combined Option vested on June 5, 2018, and the remaining Seventy Five Percent (75%) of the shares shall vest in equal monthly installments for thirty six (36) successive months after June 5, 2018. 10,938 shares subject to this Combined Option are vested and currently exercisable.
F4: This grant shall vest in equal monthly installments for forty eight (48) successive months after May 16, 2019. 3,125 shares subject to this option are vested and currently exercisable