Last 12 months
Inside the activity.
0 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 09, 2020 Filed Jan 13, 2020 22:19 UTC |
Higgins Michael JDirector
|
GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $1.54 | $0.00 |
DisclosureSEC source: 0000899243-20-001099 · doc4.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 2030-01-09 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 9, 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. Read SEC document |
| January 09, 2020 Filed Jan 13, 2020 22:17 UTC |
Iwicki Mark TDirector
|
GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $1.54 | $0.00 |
DisclosureSEC source: 0000899243-20-001093 · doc4.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 2030-01-09 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 9, 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. Read SEC document |
| January 09, 2020 Filed Jan 13, 2020 22:19 UTC |
GILLIS STEVENDirector
|
GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $1.54 | $0.00 |
DisclosureSEC source: 0000899243-20-001101 · doc4.xml · derivative · entry 1 GILLIS STEVEN · CIK 0001229592 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2030-01-09 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 9, 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. Read SEC document |
| January 09, 2020 Filed Jan 13, 2020 22:15 UTC |
Munshi AmitDirector
|
GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $1.54 | $0.00 |
DisclosureSEC source: 0000899243-20-001090 · doc4.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 2030-01-09 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 9, 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. Read SEC document |
| January 09, 2020 Filed Jan 13, 2020 22:21 UTC |
Siegert MichelleVice President of Finance
|
GrantStock Option (Right to Buy) · Derivative | 64,500 | $0.00 Strike: $1.54 | $0.00 |
DisclosureSEC source: 0000899243-20-001102 · doc4.xml · derivative · entry 2 Siegert Michelle · CIK 0001794524 · Vice President of Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,500 Underlying: Common Stock · 64,500 shares Expires 2030-01-09 F2 · derivative.exercise_date: Pursuant to the stock option agreement dated January 9, 2020, 1,343 shares underlying this stock option are fully vested and exercisable as of the date of grant. The remaining shares underlying this stock option vest and become exercisable in forty-seven (47) equal monthly installments on the 16th day of each of the 47 calendar months following the month in which the date of grant occurs, 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. Read SEC document |
| January 09, 2020 Filed Jan 13, 2020 22:21 UTC |
Siegert MichelleVice President of Finance
|
GrantStock Option (Right to Buy) · Derivative | 154,000 | $0.00 Strike: $1.54 | $0.00 |
DisclosureSEC source: 0000899243-20-001102 · doc4.xml · derivative · entry 1 Siegert Michelle · CIK 0001794524 · Vice President of Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 154,000 Underlying: Common Stock · 154,000 shares Expires 2030-01-09 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 9, 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. Read SEC document |
| January 09, 2020 Filed Jan 13, 2020 22:19 UTC |
Raad Teofilo DavidDirector · Chief Executive Officer
|
GrantStock Option (Right to Buy) · Derivative | 471,460 | $0.00 Strike: $1.54 | $0.00 |
DisclosureSEC source: 0000899243-20-001100 · doc4.xml · derivative · entry 2 Raad Teofilo David · CIK 0001705767 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 471,460 Underlying: Common Stock · 471,460 shares Expires 2030-01-09 F2 · derivative.exercise_date: Pursuant to the stock option agreement dated January 9, 2020, 68,754 shares underlying this stock option are fully vested and exercisable as of the date of grant. The remaining shares underlying this stock option vest and become exercisable in forty-one (41) equal monthly installments on the 16th day of each of the 41 calendar months following the month in which the date of grant occurs, 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. Read SEC document |
| January 09, 2020 Filed Jan 13, 2020 22:19 UTC |
Raad Teofilo DavidDirector · Chief Executive Officer
|
GrantStock Option (Right to Buy) · Derivative | 781,800 | $0.00 Strike: $1.54 | $0.00 |
DisclosureSEC source: 0000899243-20-001100 · doc4.xml · derivative · entry 1 Raad Teofilo David · CIK 0001705767 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 781,800 Underlying: Common Stock · 781,800 shares Expires 2030-01-09 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 9, 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. Read SEC document |
| January 09, 2020 Filed Jan 13, 2020 22:17 UTC |
Batycky Richard P.Director
|
GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $1.54 | $0.00 |
DisclosureSEC source: 0000899243-20-001092 · doc4.xml · derivative · entry 1 Batycky Richard P. · CIK 0001646596 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2030-01-09 F1 · derivative.exercise_date: Twenty-five percent (25%) of this option will vest and become exercisable on November 1, 2020 (the "First Vesting Date"), and the remaining shares underlying the option will vest and become exercisable in thirty-six (36) equal monthly installments on each monthly anniversary of the First Vesting Date thereafter, 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. Read SEC document |
| May 16, 2019 Filed May 20, 2019 20:11 UTC |
MCGUIRE TERRANCEDirector
|
GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $1.06 | $0.00 |
DisclosureSEC source: 0000899243-19-014137 · doc4.xml · derivative · entry 1 MCGUIRE TERRANCE · CIK 0001117003 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2029-05-16 F1 · derivative.exercise_date: The option vests in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019, 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. Read SEC document |
| May 16, 2019 Filed May 20, 2019 20:10 UTC |
Higgins Michael JDirector
|
GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $1.06 | $0.00 |
DisclosureSEC source: 0000899243-19-014134 · doc4.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 2029-05-16 F1 · derivative.exercise_date: The option vests in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019, 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. Read SEC document |
| May 16, 2019 Filed May 20, 2019 20:11 UTC |
Iwicki Mark TDirector
|
GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $1.06 | $0.00 |
DisclosureSEC source: 0000899243-19-014138 · doc4.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 2029-05-16 F1 · derivative.exercise_date: The option vests in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019, 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. Read SEC document |
| May 16, 2019 Filed May 20, 2019 16:13 UTC |
Sherman Matthew LDirector
|
GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $1.06 | $0.00 |
DisclosureSEC source: 0000899243-19-014141 · doc4.xml · derivative · entry 1 Sherman Matthew L · CIK 0001325710 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2029-05-16 F1 · derivative.exercise_date: The option vests in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019, 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. Read SEC document |
| May 16, 2019 Filed May 20, 2019 20:11 UTC |
GILLIS STEVENDirector
|
GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $1.06 | $0.00 |
DisclosureSEC source: 0000899243-19-014136 · doc4.xml · derivative · entry 1 GILLIS STEVEN · CIK 0001229592 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2029-05-16 F1 · derivative.exercise_date: The option vests in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019, 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. Read SEC document |
| May 16, 2019 Filed May 20, 2019 20:12 UTC |
Munshi AmitDirector
|
GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $1.06 | $0.00 |
DisclosureSEC source: 0000899243-19-014139 · doc4.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 2029-05-16 F1 · derivative.exercise_date: The option vests in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019, 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. Read SEC document |
| May 16, 2019 Filed May 20, 2019 20:10 UTC |
Raad Teofilo DavidDirector · Chief Executive Officer
|
GrantStock Option (Right to Buy) · Derivative | 320,000 | $0.00 Strike: $1.06 | $0.00 |
DisclosureSEC source: 0000899243-19-014135 · doc4.xml · derivative · entry 1 Raad Teofilo David · CIK 0001705767 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 320,000 Underlying: Common Stock · 320,000 shares Expires 2029-05-16 F1 · derivative.exercise_date: The option vests in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019, 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. Read SEC document |
| May 16, 2019 Filed May 20, 2019 20:10 UTC |
Duke William E.Chief Financial Officer
|
GrantStock Option (Right to Buy) · Derivative | 160,000 | $0.00 Strike: $1.06 | $0.00 |
DisclosureSEC source: 0000899243-19-014133 · doc4.xml · derivative · entry 1 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,000 Underlying: Common Stock · 160,000 shares Expires 2029-05-16 F1 · derivative.exercise_date: The option vests in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019, 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. Read SEC document |
| June 05, 2018 Filed Jun 6, 2018 22:03 UTC |
MCGUIRE TERRANCEDirector · 10% owner
|
GrantStock Option (Right to Buy) · Derivative | 124,000 | $0.00 Strike: $0.47 | $0.00 |
DisclosureSEC source: 0000899243-18-015303 · doc4.xml · derivative · entry 1 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,000 Underlying: Common Stock · 124,000 shares Expires 2028-06-05 F1 · derivative.exercise_date: The option vested as to 25% on June 5, 2018 and the remaining 75% vests in thirty-six (36) equal monthly installments with 2.083% vesting on the last day of each of the next thirty-six (36) months that follow June 5, 2018, subject to the terms and conditions of the Pulmatrix, Inc. Amended and Restated 2013 Employee, Director and Consultant Equity Incentive Plan. Read SEC document |
| June 05, 2018 Filed Jun 6, 2018 18:01 UTC |
Hava David L.Chief Scientific Officer
|
GrantStock Option (Right to Buy) · Derivative | 795,000 | $0.00 Strike: $0.47 | $0.00 |
DisclosureSEC source: 0000899243-18-015299 · doc4.xml · derivative · entry 1 Hava David L. · CIK 0001645110 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 795,000 Underlying: Common Stock · 795,000 shares Expires 2028-06-05 F1 · derivative.exercise_date: The option vested as to 25% on June 5, 2018 and the remaining 75% vests in thirty-six (36) equal monthly installments with 2.083% vesting on the last day of each of the next thirty-six (36) months that follow June 5, 2018, 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. Read SEC document |
| June 05, 2018 Filed Jun 6, 2018 22:02 UTC |
Higgins Michael JDirector
|
GrantStock Option (Right to Buy) · Derivative | 124,000 | $0.00 Strike: $0.47 | $0.00 |
DisclosureSEC source: 0000899243-18-015302 · doc4.xml · derivative · entry 1 Higgins Michael J · CIK 0001478521 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,000 Underlying: Common Stock · 124,000 shares Expires 2028-06-05 F1 · derivative.exercise_date: One-fourth (1/4) of the option vested on June 5, 2018 and the remainder vests in thirty-six (36) equal monthly installments with 2.083% vesting on the last day of each of the next thirty-six (36) months that follow June 5, 2018, 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. 2013 Employee, Director and Consultant Equity Incentive Plan. Read SEC document |
| June 05, 2018 Filed Jun 6, 2018 18:05 UTC |
Roach James M.Chief Medical Officer
|
GrantStock Option (Right to Buy) · Derivative | 801,000 | $0.00 Strike: $0.47 | $0.00 |
DisclosureSEC source: 0000899243-18-015306 · doc4.xml · derivative · entry 1 Roach James M. · CIK 0001427944 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 801,000 Underlying: Common Stock · 801,000 shares Expires 2028-06-05 F1 · derivative.exercise_date: One-fourth (1/4) of the option vested on June 5, 2018 and the remainder vests in thirty-six (36) equal monthly installments with 2.083% vesting on the last day of each of the next thirty-six (36) months that follow June 5, 2018, 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. 2013 Employee, Director and Consultant Equity Incentive Plan. Read SEC document |
| June 05, 2018 Filed Jun 6, 2018 22:02 UTC |
Iwicki Mark TDirector
|
GrantStock Option (Right to Buy) · Derivative | 155,000 | $0.00 Strike: $0.47 | $0.00 |
DisclosureSEC source: 0000899243-18-015301 · doc4.xml · derivative · entry 1 Iwicki Mark T · CIK 0001415537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,000 Underlying: Common Stock · 155,000 shares Expires 2028-06-05 F1 · derivative.exercise_date: One-fourth (1/4) of the option vested on June 5, 2018 and the remainder vests in thirty-six (36) equal monthly installments with 2.083% vesting on the last day of each of the next thirty-six (36) months that follow June 5, 2018, 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. 2013 Employee, Director and Consultant Equity Incentive Plan. Read SEC document |
| June 05, 2018 Filed Jun 6, 2018 18:00 UTC |
Sherman Matthew LDirector
|
GrantStock Option (Right to Buy) · Derivative | 124,000 | $0.00 Strike: $0.47 | $0.00 |
DisclosureSEC source: 0000899243-18-015297 · doc4.xml · derivative · entry 1 Sherman Matthew L · CIK 0001325710 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,000 Underlying: Common Stock · 124,000 shares Expires 2028-06-05 F1 · derivative.exercise_date: One-fourth (1/4) of the option vested on June 5, 2018 and the remainder vests in thirty-six (36) equal monthly installments with 2.083% vesting on the last day of each of the next thirty-six (36) months that follow June 5, 2018, 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. 2013 Employee, Director and Consultant Equity Incentive Plan. Read SEC document |
| June 05, 2018 Filed Jun 6, 2018 22:00 UTC |
GILLIS STEVENDirector
|
GrantStock Option (Right to Buy) · Derivative | 124,000 | $0.00 Strike: $0.47 | $0.00 |
DisclosureSEC source: 0000899243-18-015296 · doc4.xml · derivative · entry 1 GILLIS STEVEN · CIK 0001229592 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,000 Underlying: Common Stock · 124,000 shares Expires 2028-06-05 F1 · derivative.exercise_date: The option vested as to 25% on June 5, 2018 and the remaining 75% vests in thirty-six (36) equal monthly installments with 2.083% vesting on the last day of each of the next thirty-six (36) months that follow June 5, 2018, subject to the terms and conditions of the Pulmatrix, Inc. Amended and Restated 2013 Employee, Director and Consultant Equity Incentive Plan. Read SEC document |
| June 05, 2018 Filed Jun 6, 2018 22:03 UTC |
Clarke Robert W.Director · Chief Executive Officer
|
GrantStock Option (Right to Buy) · Derivative | 2,000,000 | $0.00 Strike: $0.47 | $0.00 |
DisclosureSEC source: 0000899243-18-015304 · doc4.xml · derivative · entry 1 Clarke Robert W. · CIK 0001645327 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000,000 Underlying: Common Stock · 2,000,000 shares Expires 2028-06-05 F1 · derivative.exercise_date: One-fourth (1/4) of the option vested on June 5, 2018 and the remainder vests in thirty-six (36) equal monthly installments with 2.083% vesting on the last day of each of the next thirty-six (36) months that follow June 5, 2018, 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. 2013 Employee, Director and Consultant Equity Incentive Plan. Read SEC document |
| June 05, 2018 Filed Jun 6, 2018 22:01 UTC |
Raad Teofilo DavidChief Business Officer
|
GrantStock Option (Right to Buy) · Derivative | 741,000 | $0.00 Strike: $0.47 | $0.00 |
DisclosureSEC source: 0000899243-18-015300 · doc4.xml · derivative · entry 1 Raad Teofilo David · CIK 0001705767 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 741,000 Underlying: Common Stock · 741,000 shares Expires 2028-06-05 F1 · derivative.exercise_date: One-fourth (1/4) of the option vested on June 5, 2018 and the remainder vests in thirty-six (36) equal monthly installments with 2.083% vesting on the last day of each of the next thirty-six (36) months that follow June 5, 2018, 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. 2013 Employee, Director and Consultant Equity Incentive Plan. Read SEC document |
| June 05, 2018 Filed Jun 6, 2018 22:01 UTC |
Munshi AmitDirector
|
GrantStock Option (Right to Buy) · Derivative | 124,000 | $0.00 Strike: $0.47 | $0.00 |
DisclosureSEC source: 0000899243-18-015298 · doc4.xml · derivative · entry 1 Munshi Amit · CIK 0001612551 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,000 Underlying: Common Stock · 124,000 shares Expires 2028-06-05 F1 · derivative.exercise_date: One-fourth (1/4) of the option vests on June 5, 2018 and the remainder vests in thirty-six (36) equal monthly installments with 2.083% vesting on the last day of each of the next thirty-six (36) months that follow June 5, 2018, 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. 2013 Employee, Director and Consultant Equity Incentive Plan. Read SEC document |
| June 05, 2018 Filed Jun 6, 2018 22:00 UTC |
Duke William E.Chief Financial Officer
|
GrantStock Option (Right to Buy) · Derivative | 850,000 | $0.00 Strike: $0.47 | $0.00 |
DisclosureSEC source: 0000899243-18-015295 · doc4.xml · derivative · entry 1 Duke William E. · CIK 0001636135 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 850,000 Underlying: Common Stock · 850,000 shares Expires 2028-06-05 F1 · derivative.exercise_date: One-fourth (1/4) of the option vested on June 5, 2018 and the remainder vests in thirty-six (36) equal monthly installments with 2.083% vesting on the last day of each of the next thirty-six (36) months that follow June 5, 2018, 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. 2013 Employee, Director and Consultant Equity Incentive Plan. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC |
MCGUIRE TERRANCEDirector · 10% owner
Flint Jonathan A10% owner
Polaris Venture Management Co IV LLC10% owner
POLARIS VENTURE PARTNERS IV LP10% owner
Polaris Venture Partners V, L.P.10% owner
|
PurchaseSeries B Warrant (right to buy) · Derivative | 7,700 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 18 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 7,700 Underlying: Common Stock · 7,700 shares Expires 2023-04-03 F15 · price: The reported securities were included within 7,700 Units purchased by PVPSFF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F16 · ownership.nature: Securities held of record by PVPSFF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC |
MCGUIRE TERRANCEDirector · 10% owner
Flint Jonathan A10% owner
Polaris Venture Management Co IV LLC10% owner
POLARIS VENTURE PARTNERS IV LP10% owner
Polaris Venture Partners V, L.P.10% owner
|
PurchaseSeries A Warrant (right to buy) · Derivative | 7,700 | Not disclosed Strike: $0.65 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 17 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 7,700 Underlying: Common Stock · 7,700 shares Expires 2018-10-03 F15 · price: The reported securities were included within 7,700 Units purchased by PVPSFF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F16 · ownership.nature: Securities held of record by PVPSFF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC |
MCGUIRE TERRANCEDirector · 10% owner
Flint Jonathan A10% owner
Polaris Venture Management Co IV LLC10% owner
POLARIS VENTURE PARTNERS IV LP10% owner
Polaris Venture Partners V, L.P.10% owner
|
PurchaseSeries B Warrant (right to buy) · Derivative | 5,275 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 16 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5,275 Underlying: Common Stock · 5,275 shares Expires 2023-04-03 F13 · price: The reported securities were included within 5,275 Units purchased by PVPFF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F14 · ownership.nature: Securities held of record by PVPFF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC |
MCGUIRE TERRANCEDirector · 10% owner
Flint Jonathan A10% owner
Polaris Venture Management Co IV LLC10% owner
POLARIS VENTURE PARTNERS IV LP10% owner
Polaris Venture Partners V, L.P.10% owner
|
PurchaseSeries A Warrant (right to buy) · Derivative | 5,275 | Not disclosed Strike: $0.65 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 15 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5,275 Underlying: Common Stock · 5,275 shares Expires 2018-10-03 F13 · price: The reported securities were included within 5,275 Units purchased by PVPFF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F14 · ownership.nature: Securities held of record by PVPFF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC |
MCGUIRE TERRANCEDirector · 10% owner
Flint Jonathan A10% owner
Polaris Venture Management Co IV LLC10% owner
POLARIS VENTURE PARTNERS IV LP10% owner
Polaris Venture Partners V, L.P.10% owner
|
PurchaseSeries B Warrant (right to buy) · Derivative | 15,007 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 14 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 15,007 Underlying: Common Stock · 15,007 shares Expires 2023-04-03 F11 · price: The reported securities were included within 15,007 Units purchased by PVPEF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F12 · ownership.nature: Securities held of record by PVPEF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC |
MCGUIRE TERRANCEDirector · 10% owner
Flint Jonathan A10% owner
Polaris Venture Management Co IV LLC10% owner
POLARIS VENTURE PARTNERS IV LP10% owner
Polaris Venture Partners V, L.P.10% owner
|
PurchaseSeries A Warrant (right to buy) · Derivative | 15,007 | Not disclosed Strike: $0.65 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 13 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 15,007 Underlying: Common Stock · 15,007 shares Expires 2018-10-03 F11 · price: The reported securities were included within 15,007 Units purchased by PVPEF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F12 · ownership.nature: Securities held of record by PVPEF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC |
MCGUIRE TERRANCEDirector · 10% owner
Flint Jonathan A10% owner
Polaris Venture Management Co IV LLC10% owner
POLARIS VENTURE PARTNERS IV LP10% owner
Polaris Venture Partners V, L.P.10% owner
|
PurchaseSeries B Warrant (right to buy) · Derivative | 769,989 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 12 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 769,989 Underlying: Common Stock · 769,989 shares Expires 2023-04-03 F7 · price: The reported securities were included within 769,989 Units purchased by Polaris Venture Partners V, L.P. ("PVP V"). F8 · ownership.nature: Securities held of record by PVP V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC |
MCGUIRE TERRANCEDirector · 10% owner
Flint Jonathan A10% owner
Polaris Venture Management Co IV LLC10% owner
POLARIS VENTURE PARTNERS IV LP10% owner
Polaris Venture Partners V, L.P.10% owner
|
PurchaseSeries A Warrant (right to buy) · Derivative | 769,989 | Not disclosed Strike: $0.65 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 11 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 769,989 Underlying: Common Stock · 769,989 shares Expires 2018-10-03 F7 · price: The reported securities were included within 769,989 Units purchased by Polaris Venture Partners V, L.P. ("PVP V"). F8 · ownership.nature: Securities held of record by PVP V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC |
MCGUIRE TERRANCEDirector · 10% owner
Flint Jonathan A10% owner
Polaris Venture Management Co IV LLC10% owner
POLARIS VENTURE PARTNERS IV LP10% owner
Polaris Venture Partners V, L.P.10% owner
|
PurchaseSeries B Warrant (right to buy) · Derivative | 6,478 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 10 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,478 Underlying: Common Stock · 6,478 shares Expires 2023-04-03 F5 · price: The reported securities were included within 6,478 Units purchased by PVPE IV. F3 · ownership.nature: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV. F4 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F6 · ownership.nature: Securities held of record by PVPE IV. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC |
MCGUIRE TERRANCEDirector · 10% owner
Flint Jonathan A10% owner
Polaris Venture Management Co IV LLC10% owner
POLARIS VENTURE PARTNERS IV LP10% owner
Polaris Venture Partners V, L.P.10% owner
|
PurchaseSeries A Warrant (right to buy) · Derivative | 6,478 | Not disclosed Strike: $0.65 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 9 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,478 Underlying: Common Stock · 6,478 shares Expires 2018-10-03 F5 · price: The reported securities were included within 6,478 Units purchased by PVPE IV. F3 · ownership.nature: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV. F4 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F6 · ownership.nature: Securities held of record by PVPE IV. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC |
MCGUIRE TERRANCEDirector · 10% owner
Flint Jonathan A10% owner
Polaris Venture Management Co IV LLC10% owner
POLARIS VENTURE PARTNERS IV LP10% owner
Polaris Venture Partners V, L.P.10% owner
|
PurchaseSeries B Warrant (right to buy) · Derivative | 345,551 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 8 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 345,551 Underlying: Common Stock · 345,551 shares Expires 2023-04-03 F1 · price: The reported securities were included within 345,551 Units purchased by Polaris Venture Partners IV, L.P. ("PVP IV") for $0.65 per Unit (each, a "Unit"). Each Unit consisted of one share of common stock, one Series A Warrant to purchase one share of common stock at an exercise price of $0.65 per share, and one Series B Warrant to purchase one share of common stock at an exercise price of $0.75 per share. F2 · ownership.nature: Securities held of record by PVP IV. F3 · ownership.nature: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV. F4 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC |
MCGUIRE TERRANCEDirector · 10% owner
Flint Jonathan A10% owner
Polaris Venture Management Co IV LLC10% owner
POLARIS VENTURE PARTNERS IV LP10% owner
Polaris Venture Partners V, L.P.10% owner
|
PurchaseSeries A Warrant (right to buy) · Derivative | 345,551 | Not disclosed Strike: $0.65 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 7 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 345,551 Underlying: Common Stock · 345,551 shares Expires 2018-10-03 F1 · price: The reported securities were included within 345,551 Units purchased by Polaris Venture Partners IV, L.P. ("PVP IV") for $0.65 per Unit (each, a "Unit"). Each Unit consisted of one share of common stock, one Series A Warrant to purchase one share of common stock at an exercise price of $0.65 per share, and one Series B Warrant to purchase one share of common stock at an exercise price of $0.75 per share. F2 · ownership.nature: Securities held of record by PVP IV. F3 · ownership.nature: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV. F4 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC |
MCGUIRE TERRANCEDirector · 10% owner
Flint Jonathan A10% owner
Polaris Venture Management Co IV LLC10% owner
POLARIS VENTURE PARTNERS IV LP10% owner
Polaris Venture Partners V, L.P.10% owner
|
PurchaseCommon Stock | 7,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · nonDerivative · entry 6 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 34,587 F15 · price: The reported securities were included within 7,700 Units purchased by PVPSFF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F16 · ownership.nature: Securities held of record by PVPSFF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC |
MCGUIRE TERRANCEDirector · 10% owner
Flint Jonathan A10% owner
Polaris Venture Management Co IV LLC10% owner
POLARIS VENTURE PARTNERS IV LP10% owner
Polaris Venture Partners V, L.P.10% owner
|
PurchaseCommon Stock | 5,275 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · nonDerivative · entry 5 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 23,875 F13 · price: The reported securities were included within 5,275 Units purchased by PVPFF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F14 · ownership.nature: Securities held of record by PVPFF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC |
MCGUIRE TERRANCEDirector · 10% owner
Flint Jonathan A10% owner
Polaris Venture Management Co IV LLC10% owner
POLARIS VENTURE PARTNERS IV LP10% owner
Polaris Venture Partners V, L.P.10% owner
|
PurchaseCommon Stock | 15,007 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · nonDerivative · entry 4 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 67,729 F11 · price: The reported securities were included within 15,007 Units purchased by PVPEF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F12 · ownership.nature: Securities held of record by PVPEF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC |
MCGUIRE TERRANCEDirector · 10% owner
Flint Jonathan A10% owner
Polaris Venture Management Co IV LLC10% owner
POLARIS VENTURE PARTNERS IV LP10% owner
Polaris Venture Partners V, L.P.10% owner
|
PurchaseCommon Stock | 769,989 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · nonDerivative · entry 3 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,468,190 F7 · price: The reported securities were included within 769,989 Units purchased by Polaris Venture Partners V, L.P. ("PVP V"). F8 · ownership.nature: Securities held of record by PVP V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC |
MCGUIRE TERRANCEDirector · 10% owner
Flint Jonathan A10% owner
Polaris Venture Management Co IV LLC10% owner
POLARIS VENTURE PARTNERS IV LP10% owner
Polaris Venture Partners V, L.P.10% owner
|
PurchaseCommon Stock | 6,478 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · nonDerivative · entry 2 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 29,178 F5 · price: The reported securities were included within 6,478 Units purchased by PVPE IV. F3 · ownership.nature: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV. F4 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F6 · ownership.nature: Securities held of record by PVPE IV. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC |
MCGUIRE TERRANCEDirector · 10% owner
Flint Jonathan A10% owner
Polaris Venture Management Co IV LLC10% owner
POLARIS VENTURE PARTNERS IV LP10% owner
Polaris Venture Partners V, L.P.10% owner
|
PurchaseCommon Stock | 345,551 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · nonDerivative · entry 1 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,556,676 F1 · price: The reported securities were included within 345,551 Units purchased by Polaris Venture Partners IV, L.P. ("PVP IV") for $0.65 per Unit (each, a "Unit"). Each Unit consisted of one share of common stock, one Series A Warrant to purchase one share of common stock at an exercise price of $0.65 per share, and one Series B Warrant to purchase one share of common stock at an exercise price of $0.75 per share. F2 · ownership.nature: Securities held of record by PVP IV. F3 · ownership.nature: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV. F4 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:07 UTC |
Iwicki Mark TDirector
|
PurchaseSeries B Warrant (right to buy) · Derivative | 307,000 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-009609 · doc4.xml · derivative · entry 3 Iwicki Mark T · CIK 0001415537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 307,000 Underlying: Common Stock · 307,000 shares Expires 2023-04-03 F1 · price: The reported securities were included within 307,000 Units purchased by the reporting person for $0.65 per Unit. Each Unit consisted of one share of common stock, one Series A Warrant to purchase one share of common stock at an exercise price of $0.65 per share, and one Series B Warrant to purchase one share of common stock at an exercise price of $0.75 per share. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:07 UTC |
Iwicki Mark TDirector
|
PurchaseSeries A Warrant (right to buy) · Derivative | 307,000 | Not disclosed Strike: $0.65 | Not disclosed |
DisclosureSEC source: 0000899243-18-009609 · doc4.xml · derivative · entry 2 Iwicki Mark T · CIK 0001415537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 307,000 Underlying: Common Stock · 307,000 shares Expires 2018-10-03 F1 · price: The reported securities were included within 307,000 Units purchased by the reporting person for $0.65 per Unit. Each Unit consisted of one share of common stock, one Series A Warrant to purchase one share of common stock at an exercise price of $0.65 per share, and one Series B Warrant to purchase one share of common stock at an exercise price of $0.75 per share. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:07 UTC |
Iwicki Mark TDirector
|
PurchaseCommon Stock | 307,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-009609 · doc4.xml · nonDerivative · entry 1 Iwicki Mark T · CIK 0001415537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 307,000 F1 · price: The reported securities were included within 307,000 Units purchased by the reporting person for $0.65 per Unit. Each Unit consisted of one share of common stock, one Series A Warrant to purchase one share of common stock at an exercise price of $0.65 per share, and one Series B Warrant to purchase one share of common stock at an exercise price of $0.75 per share. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:27 UTC |
GILLIS STEVENDirector
ARCH Venture Fund VII, L.P.Former 10% owner
ARCH Venture Partners VII, L.P.Former 10% owner
ARCH Venture Partners VII, LLCFormer 10% owner
CRANDELL KEITHFormer 10% owner
BYBEE CLINTONFormer 10% owner
NELSEN ROBERTFormer 10% owner
|
PurchaseSeries B Warrant (right to buy) · Derivative | 1,150,000 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-009614 · doc4.xml · derivative · entry 3 GILLIS STEVEN · CIK 0001229592 · Director Arch Venture Fund VII LP · CIK 0001402439 · Former 10% owner ARCH Venture Partners VII, L.P. · CIK 0001544444 · Former 10% owner ARCH Venture Partners VII, LLC · CIK 0001544443 · Former 10% owner CRANDELL KEITH · CIK 0001219039 · Former 10% owner BYBEE CLINTON · CIK 0001219043 · Former 10% owner NELSEN ROBERT · CIK 0001219042 · Former 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,150,000 Underlying: Common Stock · 1,150,000 shares Expires 2023-04-03 F1 · price: The reported securities were included within 1,150,000 Units purchased by ARCH Venture Fund VII, L.P. ("ARCH VII") for $0.65 per Unit. Each Unit consisted of one share of common stock, one Series A Warrant to purchase one share of common stock at an exercise price of $0.65 per share, and one Series B Warrant to purchase one share of common stock at an exercise price of $0.75 per share. F2 · ownership.nature: Securities held of record byARCH VII. The sole general partner of ARCH VII is ARCH Venture Partners VII, L.P. ("ARCH Partners VII"), which may be deemed to have shared voting and investment power over the shares held by ARCH VII. The sole general partner of ARCH Partners VII is ARCH Venture Partners VII, LLC ("ARCH VII LLC"), which may be deemed to have shared voting and investment power over the shares held by ARCH VII. ARCH Partners VII and ARCH VII LLC disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein. F3 · ownership.nature: The managing directors of ARCH VII LLC are Keith Crandell, Clinton Bybee and Robert Nelsen and they may be deemed to have shared voting and investment power over the shares held by ARCH VII. Dr. Steve Gillis owns an interest in ARCH Partners VII, but does not have dispositive or voting power. Messrs. Crandell, Bybee and Nelsen and Dr. Gillis disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.