0001209191-19-009884.txt : 20190214 0001209191-19-009884.hdr.sgml : 20190214 20190213191731 ACCESSION NUMBER: 0001209191-19-009884 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20190214 DATE AS OF CHANGE: 20190213 EFFECTIVENESS DATE: 20190214 FILER: 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 FILING VALUES: FORM TYPE: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-332822 FILM NUMBER: 19599860 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 D 1 primary_doc.xml X0708 D LIVE 0001574235 Pulmatrix, Inc. 99 Hayden Avenue Suite 390 Lexington MA MASSACHUSETTS 02421 781-357-2333 DELAWARE None Ruthigen, Inc. Corporation true Robert Clarke 99 Hayden Avenue Suite 390 Lexington MA MASSACHUSETTS 02421 Executive Officer Director Chief Executive Officer, President and Director William Duke 99 Hayden Avenue Suite 390 Lexington MA MASSACHUSETTS 02421 Executive Officer Chief Financial Officer, Treasurer and Secretary Teofilo Raad 99 Hayden Avenue Suite 390 Lexington MA MASSACHUSETTS 02421 Executive Officer Chief Business Officer James Roach 99 Hayden Avenue Suite 390 Lexington MA MASSACHUSETTS 02421 Executive Officer Chief Medical Officer Steven Gillis 99 Hayden Avenue Suite 390 Lexington MA MASSACHUSETTS 02421 Director Michael Higgins 99 Hayden Avenue Suite 390 Lexington MA MASSACHUSETTS 02421 Director Mark Iwicki 99 Hayden Avenue Suite 390 Lexington MA MASSACHUSETTS 02421 Director Terrance McGuire 99 Hayden Avenue Suite 390 Lexington MA MASSACHUSETTS 02421 Director Amit Munshi 99 Hayden Avenue Suite 390 Lexington MA MASSACHUSETTS 02421 Director Matthew Sherman 99 Hayden Avenue Suite 390 Lexington MA MASSACHUSETTS 02421 Director Pharmaceuticals Decline to Disclose 06b false 2019-02-12 false true true false 0 H.C. Wainwright & Co., LLC 375 None None 430 Park Avenue New York NY NEW YORK 10022 All States 2489820 2489820 0 Includes warrants to purchase up to 1,706,484 shares of common stock at an exercise price of $1.34/share, issued to certain investors, and up to 110,922 shares of common stock at an exercise price of $1.8313/share, issued to H.C. Wainwright & Co., LLC. false 7 200000 0 H.C. Wainwright & Co., LLC received the above sales commission and the warrants in connection with the private placement and a concurrent registered direct offering by the Issuer, which is not reported on this Form D. 0 false Pulmatrix, Inc. /s/ William Duke, Jr. William Duke, Jr. Chief Financial Officer, Treasurer and Secretary 2019-02-13