0001493152-21-017322.txt : 20210720 0001493152-21-017322.hdr.sgml : 20210720 20210720160031 ACCESSION NUMBER: 0001493152-21-017322 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20210720 DATE AS OF CHANGE: 20210720 EFFECTIVENESS DATE: 20210720 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: 021-407016 FILM NUMBER: 211101054 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 Teofilo Raad 99 Hayden Avenue Suite 390 Lexington MA MASSACHUSETTS 02421 Executive Officer Director President, Chief Executive Officer and Director Michael J. Higgins 99 Hayden Avenue Suite 390 Lexington MA MASSACHUSETTS 02421 Director Todd Bazemore 99 Hayden Avenue Suite 390 Lexington MA MASSACHUSETTS 02421 Director Mark Iwicki 99 Hayden Avenue Suite 390 Lexington MA MASSACHUSETTS 02421 Director Richard Batycky 99 Hayden Avenue Suite 390 Lexington MA MASSACHUSETTS 02421 Director Christopher Cabell 99 Hayden Avenue Suite 390 Lexington MA MASSACHUSETTS 02421 Director Michelle S. Siegert 99 Hayden Avenue Suite 390 Lexington MA MASSACHUSETTS 02421 Executive Officer Vice President of Finance Pharmaceuticals Decline to Disclose 06b false 2020-07-09 true true true false 0 H.C. Wainwright & Co., LLC 375 None None 430 PARK AVENUE NEW YORK NY NEW YORK 10022 IL ILLINOIS NJ NEW JERSEY NY NEW YORK false 19629373 45000 19584373 Represents (i) warrants issued/to be issued to investors as an inducement to exercise registered warrants and (ii) warrants issued/to be issued to H.C. Wainwright & Co., LLC in connection with the transaction. false 5 953102 true 0 Represents 7% commission of gross proceeds from investors exercise of registered warrants. The Issuer also paid expenses of $75,000 and issued warrants to purchase up to an aggregate of 655,573 shares of common stock. 0 false Pulmatrix, Inc. /s/ Teofilo Raad Teofilo Raad President, Chief Executive Officer, and Director 2021-07-20