PULM

SEC source: 0001493152-23-002922 · ownership.xml · derivative · entry 1

Wasilewski Margaret · CIK 0001914712 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,400

Underlying: Common Stock · 11,400 shares

Expires 2033-01-26

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments with the first tranche vesting on January 26, 2023, 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.

SEC source: 0001493152-23-002917 · ownership.xml · derivative · entry 1

Higgins Michael J · CIK 0001478521 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,436

Underlying: Common Stock · 2,436 shares

Expires 2033-01-26

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments with the first tranche vesting on January 26, 2023, 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.

SEC source: 0001493152-23-002921 · ownership.xml · derivative · entry 1

Siegert Michelle · CIK 0001794524 · Vice President, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,900

Underlying: Common Stock · 9,900 shares

Expires 2033-01-26

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments with the first tranche vesting on January 26, 2023, 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.

SEC source: 0001493152-23-002920 · ownership.xml · derivative · entry 1

Raad Teofilo David · CIK 0001705767 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,900

Underlying: Common Stock · 34,900 shares

Expires 2033-01-26

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments with the first tranche vesting on January 26, 2023, 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.

SEC source: 0001493152-23-002916 · ownership.xml · derivative · entry 1

Bazemore Todd · CIK 0001605767 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,700

Underlying: Common Stock · 1,700 shares

Expires 2033-01-26

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments with the first tranche vesting on January 26, 2023, 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.

SEC source: 0001493152-23-002919 · ownership.xml · derivative · entry 1

Cabell Christopher · CIK 0001814928 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,700

Underlying: Common Stock · 1,700 shares

Expires 2033-01-26

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments with the first tranche vesting on January 26, 2023, 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.

SEC source: 0001493152-23-002914 · ownership.xml · derivative · entry 1

Varadan Anand · CIK 0001650456 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,700

Underlying: Common Stock · 1,700 shares

Expires 2033-01-26

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments with the first tranche vesting on January 26, 2023, 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.

SEC source: 0001493152-23-002913 · ownership.xml · derivative · entry 1

Batycky Richard P. · CIK 0001646596 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,700

Underlying: Common Stock · 1,700 shares

Expires 2033-01-26

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments with the first tranche vesting on January 26, 2023, 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.

SEC source: 0001493152-22-005964 · ownership.xml · derivative · entry 1

Wasilewski Margaret · CIK 0001914712 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,060

Underlying: Common Stock · 21,060 shares

Expires 2032-03-01

F1 · derivative.exercise_date: The shares underlying this stock option will vest as follows: 25% of the options shall vest on the first anniversary of the grant date and 75% of the options shall vest in equal installments on the monthly anniversary date of each of the thirty-six (36) successive months after the first anniversary of the grant date, provided that the reporting person is providing services to the Issuer on the applicable vesting dates and subject to the terms and conditions of the Pulmatrix, Inc. Amended and Restated 2013 Employee, Director and Consultant Equity Incentive Plan.

SEC source: 0001493152-22-002620 · ownership.xml · derivative · entry 1

Bazemore Todd · CIK 0001605767 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,100

Underlying: Common Stock · 22,100 shares

Expires 2032-01-27

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments with the first tranche vesting on January 27, 2022, 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.

SEC source: 0001493152-22-002616 · ownership.xml · derivative · entry 1

Varadan Anand · CIK 0001650456 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,100

Underlying: Common Stock · 22,100 shares

Expires 2032-01-27

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments with the first tranche vesting on January 27, 2022, 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.

SEC source: 0001493152-22-002613 · ownership.xml · derivative · entry 1

Siegert Michelle · CIK 0001794524 · Vice President, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,300

Underlying: Common Stock · 184,300 shares

Expires 2032-01-27

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments with the first tranche vesting on January 27, 2022, 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.

SEC source: 0001493152-22-002610 · ownership.xml · derivative · entry 1

Raad Teofilo David · CIK 0001705767 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 750,000

Underlying: Common Stock · 750,000 shares

Expires 2032-01-27

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments with the first tranche vesting on January 27, 2022, 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.

SEC source: 0001493152-22-002679 · ownership.xml · derivative · entry 1

Higgins Michael J · CIK 0001478521 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,833

Underlying: Common Stock · 36,833 shares

Expires 2032-01-27

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments with the first tranche vesting on January 27, 2022, 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.

SEC source: 0001493152-22-002678 · ownership.xml · derivative · entry 1

Batycky Richard P. · CIK 0001646596 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,100

Underlying: Common Stock · 22,100 shares

Expires 2032-01-27

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments with the first tranche vesting on January 27, 2022, 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.

SEC source: 0001493152-22-002676 · ownership.xml · derivative · entry 1

Cabell Christopher · CIK 0001814928 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,100

Underlying: Common Stock · 22,100 shares

Expires 2032-01-27

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments with the first tranche vesting on January 27, 2022, 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.

SEC source: 0001493152-21-017971 · ownership.xml · derivative · entry 1

Varadan Anand · CIK 0001650456 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2031-07-26

F1 · derivative.exercise_date: 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.

SEC source: 0001493152-21-002325 · ownership.xml · derivative · entry 1

Higgins Michael J · CIK 0001478521 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2031-01-28

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant, with the first tranche vesting on January 28, 2021, 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.

SEC source: 0001493152-21-002329 · ownership.xml · derivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-01-28

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant, with the first tranche vesting on January 28, 2021, 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.

SEC source: 0001493152-21-002327 · ownership.xml · derivative · entry 1

Munshi Amit · CIK 0001612551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-01-28

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant, with the first tranche vesting on January 28, 2021, 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.

SEC source: 0001493152-21-002328 · ownership.xml · derivative · entry 1

Cabell Christopher · CIK 0001814928 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-01-28

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant, with the first tranche vesting on January 28, 2021, 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.

SEC source: 0001493152-21-002326 · ownership.xml · derivative · entry 1

Siegert Michelle · CIK 0001794524 · Vice President, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,900

Underlying: Common Stock · 91,900 shares

Expires 2031-01-28

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant, with the first tranche vesting on January 28, 2021, 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.

SEC source: 0001493152-21-002323 · ownership.xml · derivative · entry 1

Bazemore Todd · CIK 0001605767 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-01-28

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant, with the first tranche vesting on January 28, 2021, 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.

SEC source: 0001493152-21-002324 · ownership.xml · derivative · entry 1

Raad Teofilo David · CIK 0001705767 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 565,500

Underlying: Common Stock · 565,500 shares

Expires 2031-01-28

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant, with the first tranche vesting on January 28, 2021, 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.

SEC source: 0001493152-21-002322 · ownership.xml · derivative · entry 1

Batycky Richard P. · CIK 0001646596 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-01-28

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant, with the first tranche vesting on January 28, 2021, 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.

SEC source: 0001493152-20-018828 · ownership.xml · derivative · entry 1

Bazemore Todd · CIK 0001605767 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-10-01

F1 · derivative.exercise_date: 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 this option 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.

SEC source: 0001493152-20-017108 · ownership.xml · derivative · entry 16

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2021-09-01

F8 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on April 2, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 9,167 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F8 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on April 2, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 9,167 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F8 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on April 2, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 9,167 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

SEC source: 0001493152-20-017108 · ownership.xml · derivative · entry 15

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2030-04-02

F8 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on April 2, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 9,167 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F8 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on April 2, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 9,167 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F8 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on April 2, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 9,167 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

SEC source: 0001493152-20-017108 · ownership.xml · derivative · entry 14

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2021-09-01

F7 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on January 9, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 12,813 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F7 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on January 9, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 12,813 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F7 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on January 9, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 12,813 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

SEC source: 0001493152-20-017108 · ownership.xml · derivative · entry 13

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2030-01-09

F7 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on January 9, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 12,813 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F7 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on January 9, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 12,813 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F7 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on January 9, 2020 and provided for vesting in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant. Vesting was accelerated for 12,813 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

SEC source: 0001493152-20-017108 · ownership.xml · derivative · entry 12

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2021-09-01

F6 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 16, 2019 and provided for vesting in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019. Vesting was accelerated for 10,313 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F6 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 16, 2019 and provided for vesting in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019. Vesting was accelerated for 10,313 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F6 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 16, 2019 and provided for vesting in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019. Vesting was accelerated for 10,313 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

SEC source: 0001493152-20-017108 · ownership.xml · derivative · entry 11

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2029-05-16

F6 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 16, 2019 and provided for vesting in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019. Vesting was accelerated for 10,313 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F6 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 16, 2019 and provided for vesting in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019. Vesting was accelerated for 10,313 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F6 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 16, 2019 and provided for vesting in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019. Vesting was accelerated for 10,313 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

SEC source: 0001493152-20-017108 · ownership.xml · derivative · entry 10

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,400

Underlying: Common Stock · 12,400 shares

Expires 2021-09-01

F5 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 5, 2018 and provided for 25% vesting on June 5, 2018 and the remaining 75% to vest in thirty-six (36) equal monthly installments with 2.083% for each of the next thirty-six (36) months that follow June 5, 2018. Vesting was accelerated for 2,581 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F5 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 5, 2018 and provided for 25% vesting on June 5, 2018 and the remaining 75% to vest in thirty-six (36) equal monthly installments with 2.083% for each of the next thirty-six (36) months that follow June 5, 2018. Vesting was accelerated for 2,581 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F5 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 5, 2018 and provided for 25% vesting on June 5, 2018 and the remaining 75% to vest in thirty-six (36) equal monthly installments with 2.083% for each of the next thirty-six (36) months that follow June 5, 2018. Vesting was accelerated for 2,581 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

SEC source: 0001493152-20-017108 · ownership.xml · derivative · entry 9

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,400 shares

Expires 2028-06-05

F9 · derivative.exercise_price: The securities and exercise prices shown have been adjusted from the time of grant to reflect the Issuer's 1-for-10 reverse stock split on February 3, 2019.

F5 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 5, 2018 and provided for 25% vesting on June 5, 2018 and the remaining 75% to vest in thirty-six (36) equal monthly installments with 2.083% for each of the next thirty-six (36) months that follow June 5, 2018. Vesting was accelerated for 2,581 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F9 · shares: The securities and exercise prices shown have been adjusted from the time of grant to reflect the Issuer's 1-for-10 reverse stock split on February 3, 2019.

F5 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 5, 2018 and provided for 25% vesting on June 5, 2018 and the remaining 75% to vest in thirty-six (36) equal monthly installments with 2.083% for each of the next thirty-six (36) months that follow June 5, 2018. Vesting was accelerated for 2,581 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F5 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 5, 2018 and provided for 25% vesting on June 5, 2018 and the remaining 75% to vest in thirty-six (36) equal monthly installments with 2.083% for each of the next thirty-six (36) months that follow June 5, 2018. Vesting was accelerated for 2,581 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F9 · derivative.underlying_shares: The securities and exercise prices shown have been adjusted from the time of grant to reflect the Issuer's 1-for-10 reverse stock split on February 3, 2019.

SEC source: 0001493152-20-017108 · ownership.xml · derivative · entry 8

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 440

Underlying: Common Stock · 440 shares

Expires 2021-09-01

F4 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on March 20, 2017 and provided for 25% vesting on March 20, 2018 and the remaining 75% to vest in thirty-six (36) equal monthly installments with 2.083% for each of the next thirty-six (36) months that follow March 20, 2018. Vesting was accelerated for 63 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F4 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on March 20, 2017 and provided for 25% vesting on March 20, 2018 and the remaining 75% to vest in thirty-six (36) equal monthly installments with 2.083% for each of the next thirty-six (36) months that follow March 20, 2018. Vesting was accelerated for 63 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F4 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on March 20, 2017 and provided for 25% vesting on March 20, 2018 and the remaining 75% to vest in thirty-six (36) equal monthly installments with 2.083% for each of the next thirty-six (36) months that follow March 20, 2018. Vesting was accelerated for 63 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

SEC source: 0001493152-20-017108 · ownership.xml · derivative · entry 7

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 440 shares

Expires 2027-03-20

F9 · derivative.exercise_price: The securities and exercise prices shown have been adjusted from the time of grant to reflect the Issuer's 1-for-10 reverse stock split on February 3, 2019.

F4 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on March 20, 2017 and provided for 25% vesting on March 20, 2018 and the remaining 75% to vest in thirty-six (36) equal monthly installments with 2.083% for each of the next thirty-six (36) months that follow March 20, 2018. Vesting was accelerated for 63 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F9 · shares: The securities and exercise prices shown have been adjusted from the time of grant to reflect the Issuer's 1-for-10 reverse stock split on February 3, 2019.

F4 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on March 20, 2017 and provided for 25% vesting on March 20, 2018 and the remaining 75% to vest in thirty-six (36) equal monthly installments with 2.083% for each of the next thirty-six (36) months that follow March 20, 2018. Vesting was accelerated for 63 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F4 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on March 20, 2017 and provided for 25% vesting on March 20, 2018 and the remaining 75% to vest in thirty-six (36) equal monthly installments with 2.083% for each of the next thirty-six (36) months that follow March 20, 2018. Vesting was accelerated for 63 options that otherwise would not have become vested due to the reporting person's resignation. The post-termination exercise period was extended to September 1, 2021.

F9 · derivative.underlying_shares: The securities and exercise prices shown have been adjusted from the time of grant to reflect the Issuer's 1-for-10 reverse stock split on February 3, 2019.

SEC source: 0001493152-20-017108 · ownership.xml · derivative · entry 6

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 880

Underlying: Common Stock · 880 shares

Expires 2021-09-01

F3 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on February 3, 2016 and vested 100% on February 3, 2020. The post-termination exercise period was extended to September 1, 2021.

F3 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on February 3, 2016 and vested 100% on February 3, 2020. The post-termination exercise period was extended to September 1, 2021.

F3 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on February 3, 2016 and vested 100% on February 3, 2020. The post-termination exercise period was extended to September 1, 2021.

SEC source: 0001493152-20-017108 · ownership.xml · derivative · entry 5

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 880 shares

Expires 2026-02-03

F9 · derivative.exercise_price: The securities and exercise prices shown have been adjusted from the time of grant to reflect the Issuer's 1-for-10 reverse stock split on February 3, 2019.

F3 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on February 3, 2016 and vested 100% on February 3, 2020. The post-termination exercise period was extended to September 1, 2021.

F9 · shares: The securities and exercise prices shown have been adjusted from the time of grant to reflect the Issuer's 1-for-10 reverse stock split on February 3, 2019.

F3 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on February 3, 2016 and vested 100% on February 3, 2020. The post-termination exercise period was extended to September 1, 2021.

F3 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on February 3, 2016 and vested 100% on February 3, 2020. The post-termination exercise period was extended to September 1, 2021.

F9 · derivative.underlying_shares: The securities and exercise prices shown have been adjusted from the time of grant to reflect the Issuer's 1-for-10 reverse stock split on February 3, 2019.

SEC source: 0001493152-20-017108 · ownership.xml · derivative · entry 4

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111

Underlying: Common Stock · 111 shares

Expires 2021-09-01

F2 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 24, 2015 and vested 100% on June 16, 2020. The post-termination exercise period was extended to September 1, 2021.

F2 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 24, 2015 and vested 100% on June 16, 2020. The post-termination exercise period was extended to September 1, 2021.

F2 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 24, 2015 and vested 100% on June 16, 2020. The post-termination exercise period was extended to September 1, 2021.

SEC source: 0001493152-20-017108 · ownership.xml · derivative · entry 3

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 111 shares

Expires 2025-06-24

F9 · derivative.exercise_price: The securities and exercise prices shown have been adjusted from the time of grant to reflect the Issuer's 1-for-10 reverse stock split on February 3, 2019.

F2 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 24, 2015 and vested 100% on June 16, 2020. The post-termination exercise period was extended to September 1, 2021.

F9 · shares: The securities and exercise prices shown have been adjusted from the time of grant to reflect the Issuer's 1-for-10 reverse stock split on February 3, 2019.

F2 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 24, 2015 and vested 100% on June 16, 2020. The post-termination exercise period was extended to September 1, 2021.

F2 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 24, 2015 and vested 100% on June 16, 2020. The post-termination exercise period was extended to September 1, 2021.

F9 · derivative.underlying_shares: The securities and exercise prices shown have been adjusted from the time of grant to reflect the Issuer's 1-for-10 reverse stock split on February 3, 2019.

SEC source: 0001493152-20-017108 · ownership.xml · derivative · entry 2

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,771

Underlying: Common Stock · 1,771 shares

Expires 2021-09-01

F1 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 16, 2015 and vested 100% on June 16, 2020. The post-termination exercise period was extended to September 1, 2021.

F1 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 16, 2015 and vested 100% on June 16, 2020. The post-termination exercise period was extended to September 1, 2021.

F1 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 16, 2015 and vested 100% on June 16, 2020. The post-termination exercise period was extended to September 1, 2021.

SEC source: 0001493152-20-017108 · ownership.xml · derivative · entry 1

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,771 shares

Expires 2025-06-16

F9 · derivative.exercise_price: The securities and exercise prices shown have been adjusted from the time of grant to reflect the Issuer's 1-for-10 reverse stock split on February 3, 2019.

F1 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 16, 2015 and vested 100% on June 16, 2020. The post-termination exercise period was extended to September 1, 2021.

F9 · shares: The securities and exercise prices shown have been adjusted from the time of grant to reflect the Issuer's 1-for-10 reverse stock split on February 3, 2019.

F1 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 16, 2015 and vested 100% on June 16, 2020. The post-termination exercise period was extended to September 1, 2021.

F1 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 16, 2015 and vested 100% on June 16, 2020. The post-termination exercise period was extended to September 1, 2021.

F9 · derivative.underlying_shares: The securities and exercise prices shown have been adjusted from the time of grant to reflect the Issuer's 1-for-10 reverse stock split on February 3, 2019.

SEC source: 0001493152-20-011850 · ownership.xml · derivative · entry 1

Cabell Christopher · CIK 0001814928 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-06-23

F1 · derivative.exercise_date: 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 this option 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.

SEC source: 0001493152-20-006979 · ownership.xml · derivative · entry 1

Higgins Michael J · CIK 0001478521 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-04-21

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant, with the first tranche vesting on May 21, 2020, 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.

SEC source: 0000899243-20-010242 · doc4.xml · derivative · entry 1

Raad Teofilo David · CIK 0001705767 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2030-04-02

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant, with the first tranche vesting on May 2, 2020, 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.

SEC source: 0000899243-20-010246 · doc4.xml · derivative · entry 1

Munshi Amit · CIK 0001612551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2030-04-02

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant, with the first tranche vesting on May 2, 2020, 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.

SEC source: 0000899243-20-010333 · doc4.xml · derivative · entry 1

Higgins Michael J · CIK 0001478521 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2030-04-02

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant, with the first tranche vesting on May 2, 2020, 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.

SEC source: 0000899243-20-010287 · doc4.xml · derivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2030-04-02

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant, with the first tranche vesting on May 2, 2020, 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.

SEC source: 0000899243-20-010278 · doc4.xml · derivative · entry 1

GILLIS STEVEN · CIK 0001229592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2030-04-02

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant, with the first tranche vesting on May 2, 2020, 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.

SEC source: 0000899243-20-010273 · doc4.xml · derivative · entry 1

Batycky Richard P. · CIK 0001646596 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2030-04-02

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant, with the first tranche vesting on May 2, 2020, 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.