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Polaris Venture Management Co IV LLC

Disclosed activity across 2 companies

Tapewire entity
107448
SEC CIK
0001295438

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Lyra Therapeutics, Inc.LYRA · Entity 4683710% ownerMay 05, 2020May 06, 2020
Pulmatrix, Inc.PULM · Entity 824910% ownerApril 03, 2018April 06, 2018

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Lyra Therapeutics, Inc.

Report date May 05, 2020 · Filed May 06, 2020

Jointly reported with POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP, POLARIS VENTURE PARTNERS IV LP

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote316,980 Reported balance After 2020-05-05 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-05-05 · Conversion · Acquired 316,980 · Balance 316,980

F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F2: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). PVM IV is the general partner of PVPE IV. Each of Flint and McGuire are the managing members of PVM IV and may be deemed to have shared voting and dispositive power over the shares held by PVPE IV. Each of PVM IV, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one 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.

Common StockSEC Table I · non-derivativeIndirectSee footnote5,940 Reported balance After 2020-05-05 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2020-05-05 · Conversion · Acquired 5,940 · Balance 5,940

F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F3: The reportable securities are owned directly by Polaris Venture Partners IV, L.P. ("PVP IV"). Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM IV and may be deemed to have shared voting and dispositive power over the shares held by PVP IV. Each of PVM IV, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one 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.

Series A-1/A Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2020-05-05 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2020-05-05 · Conversion · Disposed 3,386,690 · Balance 0

F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F2: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). PVM IV is the general partner of PVPE IV. Each of Flint and McGuire are the managing members of PVM IV and may be deemed to have shared voting and dispositive power over the shares held by PVPE IV. Each of PVM IV, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one 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.

Series A-1/A Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2020-05-05 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2020-05-05 · Conversion · Disposed 63,490 · Balance 0

F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F3: The reportable securities are owned directly by Polaris Venture Partners IV, L.P. ("PVP IV"). Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM IV and may be deemed to have shared voting and dispositive power over the shares held by PVP IV. Each of PVM IV, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one 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.

Series A-1/B Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2020-05-05 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2020-05-05 · Conversion · Disposed 3,234,812 · Balance 0

F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F2: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). PVM IV is the general partner of PVPE IV. Each of Flint and McGuire are the managing members of PVM IV and may be deemed to have shared voting and dispositive power over the shares held by PVPE IV. Each of PVM IV, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one 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.

Series A-1/B Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2020-05-05 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2020-05-05 · Conversion · Disposed 60,642 · Balance 0

F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F3: The reportable securities are owned directly by Polaris Venture Partners IV, L.P. ("PVP IV"). Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM IV and may be deemed to have shared voting and dispositive power over the shares held by PVP IV. Each of PVM IV, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one 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.

Series A-2 Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2020-05-05 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2020-05-05 · Conversion · Disposed 3,481,517 · Balance 0

F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F2: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). PVM IV is the general partner of PVPE IV. Each of Flint and McGuire are the managing members of PVM IV and may be deemed to have shared voting and dispositive power over the shares held by PVPE IV. Each of PVM IV, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one 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.

Series A-2 Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2020-05-05 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2020-05-05 · Conversion · Disposed 65,267 · Balance 0

F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F3: The reportable securities are owned directly by Polaris Venture Partners IV, L.P. ("PVP IV"). Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM IV and may be deemed to have shared voting and dispositive power over the shares held by PVP IV. Each of PVM IV, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one 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.

Series A-3 Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2020-05-05 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2020-05-05 · Conversion · Disposed 827,483 · Balance 0

F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F2: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). PVM IV is the general partner of PVPE IV. Each of Flint and McGuire are the managing members of PVM IV and may be deemed to have shared voting and dispositive power over the shares held by PVPE IV. Each of PVM IV, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one 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.

Series A-3 Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2020-05-05 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2020-05-05 · Conversion · Disposed 15,513 · Balance 0

F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F3: The reportable securities are owned directly by Polaris Venture Partners IV, L.P. ("PVP IV"). Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM IV and may be deemed to have shared voting and dispositive power over the shares held by PVP IV. Each of PVM IV, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one 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.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F2: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). PVM IV is the general partner of PVPE IV. Each of Flint and McGuire are the managing members of PVM IV and may be deemed to have shared voting and dispositive power over the shares held by PVPE IV. Each of PVM IV, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one 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.

F3: The reportable securities are owned directly by Polaris Venture Partners IV, L.P. ("PVP IV"). Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM IV and may be deemed to have shared voting and dispositive power over the shares held by PVP IV. Each of PVM IV, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one 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.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnotes1,556,676 Reported balance After 2018-04-03 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2018-04-03 · Purchase · Acquired 345,551 · Balance 1,556,676

F1: 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: Securities held of record by PVP IV.

F3: 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: 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.

Common StockSEC Table I · non-derivativeIndirectSee Footnotes29,178 Reported balance After 2018-04-03 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2018-04-03 · Purchase · Acquired 6,478 · Balance 29,178

F5: The reported securities were included within 6,478 Units purchased by PVPE IV.

F3: 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: 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: Securities held of record by PVPE IV.

Common StockSEC Table I · non-derivativeIndirectSee Footnotes3,468,190 Reported balance After 2018-04-03 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2018-04-03 · Purchase · Acquired 769,989 · Balance 3,468,190

F7: The reported securities were included within 769,989 Units purchased by Polaris Venture Partners V, L.P. ("PVP V").

F8: Securities held of record by PVP V.

F9: 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: 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.

Common StockSEC Table I · non-derivativeIndirectSee Footnotes67,729 Reported balance After 2018-04-03 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 4 · 2018-04-03 · Purchase · Acquired 15,007 · Balance 67,729

F11: The reported securities were included within 15,007 Units purchased by PVPEF V.

F9: 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: 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: Securities held of record by PVPEF V.

Common StockSEC Table I · non-derivativeIndirectSee Footnotes23,875 Reported balance After 2018-04-03 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 5 · 2018-04-03 · Purchase · Acquired 5,275 · Balance 23,875

F13: The reported securities were included within 5,275 Units purchased by PVPFF V.

F9: 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: 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: Securities held of record by PVPFF V.

Common StockSEC Table I · non-derivativeIndirectSee Footnotes34,587 Reported balance After 2018-04-03 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 6 · 2018-04-03 · Purchase · Acquired 7,700 · Balance 34,587

F15: The reported securities were included within 7,700 Units purchased by PVPSFF V.

F9: 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: 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: Securities held of record by PVPSFF V.

Series A Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.65 · Expires 2018-10-03IndirectSee Footnotes345,551 Reported balance After 2018-04-03 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2018-04-03 · Purchase · Acquired 345,551 · Balance 345,551

F1: 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: Securities held of record by PVP IV.

F3: 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: 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.

Series A Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.65 · Expires 2018-10-03IndirectSee Footnotes6,478 Reported balance After 2018-04-03 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2018-04-03 · Purchase · Acquired 6,478 · Balance 6,478

F5: The reported securities were included within 6,478 Units purchased by PVPE IV.

F3: 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: 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: Securities held of record by PVPE IV.

Series A Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.65 · Expires 2018-10-03IndirectSee Footnotes769,989 Reported balance After 2018-04-03 transaction · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 11 · 2018-04-03 · Purchase · Acquired 769,989 · Balance 769,989

F7: The reported securities were included within 769,989 Units purchased by Polaris Venture Partners V, L.P. ("PVP V").

F8: Securities held of record by PVP V.

F9: 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: 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.

Series A Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.65 · Expires 2018-10-03IndirectSee Footnotes15,007 Reported balance After 2018-04-03 transaction · row 13 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 13 · 2018-04-03 · Purchase · Acquired 15,007 · Balance 15,007

F11: The reported securities were included within 15,007 Units purchased by PVPEF V.

F9: 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: 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: Securities held of record by PVPEF V.

Series A Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.65 · Expires 2018-10-03IndirectSee Footnotes5,275 Reported balance After 2018-04-03 transaction · row 15 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 15 · 2018-04-03 · Purchase · Acquired 5,275 · Balance 5,275

F13: The reported securities were included within 5,275 Units purchased by PVPFF V.

F9: 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: 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: Securities held of record by PVPFF V.

Series A Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.65 · Expires 2018-10-03IndirectSee Footnotes7,700 Reported balance After 2018-04-03 transaction · row 17 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 17 · 2018-04-03 · Purchase · Acquired 7,700 · Balance 7,700

F15: The reported securities were included within 7,700 Units purchased by PVPSFF V.

F9: 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: 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: Securities held of record by PVPSFF V.

Series B Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.75 · Expires 2023-04-03IndirectSee Footnotes345,551 Reported balance After 2018-04-03 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2018-04-03 · Purchase · Acquired 345,551 · Balance 345,551

F1: 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: Securities held of record by PVP IV.

F3: 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: 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.

Series B Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.75 · Expires 2023-04-03IndirectSee Footnotes6,478 Reported balance After 2018-04-03 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2018-04-03 · Purchase · Acquired 6,478 · Balance 6,478

F5: The reported securities were included within 6,478 Units purchased by PVPE IV.

F3: 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: 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: Securities held of record by PVPE IV.

Series B Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.75 · Expires 2023-04-03IndirectSee Footnotes769,989 Reported balance After 2018-04-03 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 12 · 2018-04-03 · Purchase · Acquired 769,989 · Balance 769,989

F7: The reported securities were included within 769,989 Units purchased by Polaris Venture Partners V, L.P. ("PVP V").

F8: Securities held of record by PVP V.

F9: 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: 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.

Series B Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.75 · Expires 2023-04-03IndirectSee Footnotes15,007 Reported balance After 2018-04-03 transaction · row 14 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 14 · 2018-04-03 · Purchase · Acquired 15,007 · Balance 15,007

F11: The reported securities were included within 15,007 Units purchased by PVPEF V.

F9: 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: 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: Securities held of record by PVPEF V.

Series B Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.75 · Expires 2023-04-03IndirectSee Footnotes5,275 Reported balance After 2018-04-03 transaction · row 16 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 16 · 2018-04-03 · Purchase · Acquired 5,275 · Balance 5,275

F13: The reported securities were included within 5,275 Units purchased by PVPFF V.

F9: 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: 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: Securities held of record by PVPFF V.

Series B Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.75 · Expires 2023-04-03IndirectSee Footnotes7,700 Reported balance After 2018-04-03 transaction · row 18 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 18 · 2018-04-03 · Purchase · Acquired 7,700 · Balance 7,700

F15: The reported securities were included within 7,700 Units purchased by PVPSFF V.

F9: 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: 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: Securities held of record by PVPSFF V.

Filing footnotes · ownership attribution and instrument terms

F1: 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: Securities held of record by PVP IV.

F3: 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: 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.

F5: The reported securities were included within 6,478 Units purchased by PVPE IV.

F6: Securities held of record by PVPE IV.

F7: The reported securities were included within 769,989 Units purchased by Polaris Venture Partners V, L.P. ("PVP V").

F8: Securities held of record by PVP V.

F9: 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: 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.

F11: The reported securities were included within 15,007 Units purchased by PVPEF V.

F12: Securities held of record by PVPEF V.

F13: The reported securities were included within 5,275 Units purchased by PVPFF V.

F14: Securities held of record by PVPFF V.

F15: The reported securities were included within 7,700 Units purchased by PVPSFF V.

F16: Securities held of record by PVPSFF V.

Transaction history

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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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
May 05, 2020 Filed May 6, 2020 19:34 UTC Lyra Therapeutics, Inc. LYRA · Entity 46837 ConversionSeries A-3 Convertible Preferred Stock · Derivative 15,513 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-012176 · doc4.xml · derivative · entry 10

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

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 449 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F1 · price: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F3 · ownership.nature: The reportable securities are owned directly by Polaris Venture Partners IV, L.P. ("PVP IV"). Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM IV and may be deemed to have shared voting and dispositive power over the shares held by PVP IV. Each of PVM IV, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one 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
May 05, 2020 Filed May 6, 2020 19:34 UTC Lyra Therapeutics, Inc. LYRA · Entity 46837 ConversionSeries A-3 Convertible Preferred Stock · Derivative 827,483 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-012176 · doc4.xml · derivative · entry 9

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

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 23,996 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F1 · price: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F2 · ownership.nature: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). PVM IV is the general partner of PVPE IV. Each of Flint and McGuire are the managing members of PVM IV and may be deemed to have shared voting and dispositive power over the shares held by PVPE IV. Each of PVM IV, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one 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
May 05, 2020 Filed May 6, 2020 19:34 UTC Lyra Therapeutics, Inc. LYRA · Entity 46837 ConversionSeries A-2 Convertible Preferred Stock · Derivative 65,267 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-012176 · doc4.xml · derivative · entry 8

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

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,892 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F1 · price: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F3 · ownership.nature: The reportable securities are owned directly by Polaris Venture Partners IV, L.P. ("PVP IV"). Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM IV and may be deemed to have shared voting and dispositive power over the shares held by PVP IV. Each of PVM IV, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one 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
May 05, 2020 Filed May 6, 2020 19:34 UTC Lyra Therapeutics, Inc. LYRA · Entity 46837 ConversionSeries A-2 Convertible Preferred Stock · Derivative 3,481,517 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-012176 · doc4.xml · derivative · entry 7

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

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 100,963 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F1 · price: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F2 · ownership.nature: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). PVM IV is the general partner of PVPE IV. Each of Flint and McGuire are the managing members of PVM IV and may be deemed to have shared voting and dispositive power over the shares held by PVPE IV. Each of PVM IV, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one 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
May 05, 2020 Filed May 6, 2020 19:34 UTC Lyra Therapeutics, Inc. LYRA · Entity 46837 ConversionSeries A-1/B Convertible Preferred Stock · Derivative 60,642 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-012176 · doc4.xml · derivative · entry 6

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

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,758 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F1 · price: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F3 · ownership.nature: The reportable securities are owned directly by Polaris Venture Partners IV, L.P. ("PVP IV"). Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM IV and may be deemed to have shared voting and dispositive power over the shares held by PVP IV. Each of PVM IV, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one 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
May 05, 2020 Filed May 6, 2020 19:34 UTC Lyra Therapeutics, Inc. LYRA · Entity 46837 ConversionSeries A-1/B Convertible Preferred Stock · Derivative 3,234,812 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-012176 · doc4.xml · derivative · entry 5

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

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 93,808 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F1 · price: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F2 · ownership.nature: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). PVM IV is the general partner of PVPE IV. Each of Flint and McGuire are the managing members of PVM IV and may be deemed to have shared voting and dispositive power over the shares held by PVPE IV. Each of PVM IV, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one 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
May 05, 2020 Filed May 6, 2020 19:34 UTC Lyra Therapeutics, Inc. LYRA · Entity 46837 ConversionSeries A-1/A Convertible Preferred Stock · Derivative 63,490 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-012176 · doc4.xml · derivative · entry 4

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

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,841 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F1 · price: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F3 · ownership.nature: The reportable securities are owned directly by Polaris Venture Partners IV, L.P. ("PVP IV"). Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM IV and may be deemed to have shared voting and dispositive power over the shares held by PVP IV. Each of PVM IV, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one 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
May 05, 2020 Filed May 6, 2020 19:34 UTC Lyra Therapeutics, Inc. LYRA · Entity 46837 ConversionSeries A-1/A Convertible Preferred Stock · Derivative 3,386,690 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-012176 · doc4.xml · derivative · entry 3

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

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 98,213 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F1 · price: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F2 · ownership.nature: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). PVM IV is the general partner of PVPE IV. Each of Flint and McGuire are the managing members of PVM IV and may be deemed to have shared voting and dispositive power over the shares held by PVPE IV. Each of PVM IV, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one 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
May 05, 2020 Filed May 6, 2020 19:34 UTC Lyra Therapeutics, Inc. LYRA · Entity 46837 ConversionCommon Stock 5,940 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-012176 · doc4.xml · nonDerivative · entry 2

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

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 5,940

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F3 · ownership.nature: The reportable securities are owned directly by Polaris Venture Partners IV, L.P. ("PVP IV"). Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM IV and may be deemed to have shared voting and dispositive power over the shares held by PVP IV. Each of PVM IV, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one 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
May 05, 2020 Filed May 6, 2020 19:34 UTC Lyra Therapeutics, Inc. LYRA · Entity 46837 ConversionCommon Stock 316,980 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-012176 · doc4.xml · nonDerivative · entry 1

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

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 316,980

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.

F2 · ownership.nature: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). PVM IV is the general partner of PVPE IV. Each of Flint and McGuire are the managing members of PVM IV and may be deemed to have shared voting and dispositive power over the shares held by PVPE IV. Each of PVM IV, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one 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 Pulmatrix, Inc. PULM · Entity 8249 PurchaseSeries B Warrant (right to buy) · Derivative 7,700 Not disclosed Strike: $0.75 Not disclosed
Disclosure

SEC 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 Pulmatrix, Inc. PULM · Entity 8249 PurchaseSeries A Warrant (right to buy) · Derivative 7,700 Not disclosed Strike: $0.65 Not disclosed
Disclosure

SEC 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 Pulmatrix, Inc. PULM · Entity 8249 PurchaseSeries B Warrant (right to buy) · Derivative 5,275 Not disclosed Strike: $0.75 Not disclosed
Disclosure

SEC 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 Pulmatrix, Inc. PULM · Entity 8249 PurchaseSeries A Warrant (right to buy) · Derivative 5,275 Not disclosed Strike: $0.65 Not disclosed
Disclosure

SEC 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 Pulmatrix, Inc. PULM · Entity 8249 PurchaseSeries B Warrant (right to buy) · Derivative 15,007 Not disclosed Strike: $0.75 Not disclosed
Disclosure

SEC 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 Pulmatrix, Inc. PULM · Entity 8249 PurchaseSeries A Warrant (right to buy) · Derivative 15,007 Not disclosed Strike: $0.65 Not disclosed
Disclosure

SEC 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 Pulmatrix, Inc. PULM · Entity 8249 PurchaseSeries B Warrant (right to buy) · Derivative 769,989 Not disclosed Strike: $0.75 Not disclosed
Disclosure

SEC 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 Pulmatrix, Inc. PULM · Entity 8249 PurchaseSeries A Warrant (right to buy) · Derivative 769,989 Not disclosed Strike: $0.65 Not disclosed
Disclosure

SEC 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 Pulmatrix, Inc. PULM · Entity 8249 PurchaseSeries B Warrant (right to buy) · Derivative 6,478 Not disclosed Strike: $0.75 Not disclosed
Disclosure

SEC 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 Pulmatrix, Inc. PULM · Entity 8249 PurchaseSeries A Warrant (right to buy) · Derivative 6,478 Not disclosed Strike: $0.65 Not disclosed
Disclosure

SEC 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 Pulmatrix, Inc. PULM · Entity 8249 PurchaseSeries B Warrant (right to buy) · Derivative 345,551 Not disclosed Strike: $0.75 Not disclosed
Disclosure

SEC 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 Pulmatrix, Inc. PULM · Entity 8249 PurchaseSeries A Warrant (right to buy) · Derivative 345,551 Not disclosed Strike: $0.65 Not disclosed
Disclosure

SEC 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 Pulmatrix, Inc. PULM · Entity 8249 PurchaseCommon Stock 7,700 Not disclosed Not disclosed
Disclosure

SEC 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 Pulmatrix, Inc. PULM · Entity 8249 PurchaseCommon Stock 5,275 Not disclosed Not disclosed
Disclosure

SEC 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 Pulmatrix, Inc. PULM · Entity 8249 PurchaseCommon Stock 15,007 Not disclosed Not disclosed
Disclosure

SEC 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 Pulmatrix, Inc. PULM · Entity 8249 PurchaseCommon Stock 769,989 Not disclosed Not disclosed
Disclosure

SEC 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 Pulmatrix, Inc. PULM · Entity 8249 PurchaseCommon Stock 6,478 Not disclosed Not disclosed
Disclosure

SEC 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 Pulmatrix, Inc. PULM · Entity 8249 PurchaseCommon Stock 345,551 Not disclosed Not disclosed
Disclosure

SEC 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

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.