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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Pulmatrix Inc | NASDAQ:PULM | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 1.8901 | 1.84 | 2.20 | 0 | 09:00:00 |
FORM 4
[
X
]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
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1. Name and Address of Reporting Person
*
Arch Venture Fund VII LP |
2. Issuer Name
and
Ticker or Trading Symbol
Pulmatrix, Inc. [ PULM ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner _____ Officer (give title below) __ X __ Other (specify below) Former 10% Owner |
8755 W HIGGINS ROAD, SUITE 1025, |
3. Date of Earliest Transaction
(MM/DD/YYYY)
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CHICAGO, IL 60631 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person _ X _ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
||||||||||
1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
Remarks:
As a result of the closing of the issuer's public offering of units consisting of common stock, Series A warrants and Series B warrants on April 3, 2018, the reporting persons ceased to beneficially own more than 10% of the issuer's common stock. Accordingly, the reporting persons are no longer subject to Section 16 in connection with their transactions in the equity securities of the issuer and will no longer report any such transactions on Form 4 or Form 5. |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
Arch Venture Fund VII LP
8755 W HIGGINS ROAD, SUITE 1025 CHICAGO, IL 60631 |
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Former 10% Owner | |
ARCH Venture Partners VII, L.P.
8755 W HIGGINS ROAD, SUITE 1025 CHICAGO, IL 60631 |
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Former 10% Owner | |
ARCH Venture Partners VII, LLC
8755 W HIGGINS ROAD, SUITE 1025 CHICAGO, IL 60631 |
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Former 10% Owner | |
CRANDELL KEITH
C/O ARCH VENTURE FUND VII 8755 W HIGGINS ROAD, SUITE 1025 CHICAGO, IL 60631 |
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Former 10% Owner | |
BYBEE CLINTON
C/O ARCH VENTURE FUND VII 8755 W HIGGINS ROAD, SUITE 1025 CHICAGO, IL 60631 |
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Former 10% Owner | |
NELSEN ROBERT
C/O ARCH VENTURE FUND VII 8755 W HIGGINS ROAD, SUITE 1025 CHICAGO, IL 60631 |
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Former 10% Owner |
Signatures
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/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. | 4/12/2018 | |
** Signature of Reporting Person |
Date
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|
/s/ Mark McDonnell, as Attorney-in-Fact for Keith Crandell, Managing Director of the general partner of ARCH Venture Partners VII, L.P. | 4/12/2018 | |
** Signature of Reporting Person |
Date
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/s/ Mark McDonnell, as Attorney-in-Fact for Keith Crandell, Managing Director of ARCH Venture Partners VII, LLC | 4/12/2018 | |
** Signature of Reporting Person |
Date
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/s/ Mark McDonnell, as Attorney-in-Fact for Keith Crandell | 4/12/2018 | |
** Signature of Reporting Person |
Date
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/s/ Mark McDonnell, as Attorney-in-Fact for Clinton Bybee | 4/12/2018 | |
** Signature of Reporting Person |
Date
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/s/ Mark McDonnell, as Attorney-in-Fact for Robert Nelsen | 4/12/2018 | |
** Signature of Reporting Person |
Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1 Year Pulmatrix Chart |
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