organization · Reporting owner
POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP
Disclosed activity across 2 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Lyra Therapeutics, Inc.LYRA · Entity 46837 | 10% owner | May 05, 2020 | May 06, 2020 |
| Pulmatrix, Inc.PULM · Entity 8249 | 10% owner | April 03, 2018 | April 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 Management Co IV LLC, POLARIS VENTURE PARTNERS IV LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 316,980 |
Reported balance
After 2020-05-05 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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-derivative | IndirectSee footnote | 5,940 |
Reported balance
After 2020-05-05 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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.
Pulmatrix, Inc.
Report date April 03, 2018 · Filed April 06, 2018
Jointly reported with MCGUIRE TERRANCE, Flint Jonathan A, Polaris Venture Management Co IV LLC, POLARIS VENTURE PARTNERS IV LP, Polaris Venture Management Co. V, L.L.C., Polaris Venture Partners Entrepreneurs' Fund V, L.P., Polaris Venture Partners V, L.P., Polaris Venture Partners Founders' Fund V, L.P., Polaris Venture Partners Special Founders' Fund V, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 1,556,676 |
Reported balance
After 2018-04-03 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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-derivative | IndirectSee Footnotes | 29,178 |
Reported balance
After 2018-04-03 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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-derivative | IndirectSee Footnotes | 3,468,190 |
Reported balance
After 2018-04-03 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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-derivative | IndirectSee Footnotes | 67,729 |
Reported balance
After 2018-04-03 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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-derivative | IndirectSee Footnotes | 23,875 |
Reported balance
After 2018-04-03 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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-derivative | IndirectSee Footnotes | 34,587 |
Reported balance
After 2018-04-03 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 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 2018-10-03 | IndirectSee Footnotes | 345,551 |
Reported balance
After 2018-04-03 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2018-10-03 | IndirectSee Footnotes | 6,478 |
Reported balance
After 2018-04-03 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2018-10-03 | IndirectSee Footnotes | 769,989 |
Reported balance
After 2018-04-03 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2018-10-03 | IndirectSee Footnotes | 15,007 |
Reported balance
After 2018-04-03 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2018-10-03 | IndirectSee Footnotes | 5,275 |
Reported balance
After 2018-04-03 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2018-10-03 | IndirectSee Footnotes | 7,700 |
Reported balance
After 2018-04-03 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2023-04-03 | IndirectSee Footnotes | 345,551 |
Reported balance
After 2018-04-03 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2023-04-03 | IndirectSee Footnotes | 6,478 |
Reported balance
After 2018-04-03 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2023-04-03 | IndirectSee Footnotes | 769,989 |
Reported balance
After 2018-04-03 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2023-04-03 | IndirectSee Footnotes | 15,007 |
Reported balance
After 2018-04-03 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2023-04-03 | IndirectSee Footnotes | 5,275 |
Reported balance
After 2018-04-03 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2023-04-03 | IndirectSee Footnotes | 7,700 |
Reported balance
After 2018-04-03 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 18 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 7,700 Underlying: Common Stock · 7,700 shares Expires 2023-04-03 F15 · price: The reported securities were included within 7,700 Units purchased by PVPSFF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F16 · ownership.nature: Securities held of record by PVPSFF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseSeries A Warrant (right to buy) · Derivative | 7,700 | Not disclosed Strike: $0.65 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 17 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 7,700 Underlying: Common Stock · 7,700 shares Expires 2018-10-03 F15 · price: The reported securities were included within 7,700 Units purchased by PVPSFF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F16 · ownership.nature: Securities held of record by PVPSFF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseSeries B Warrant (right to buy) · Derivative | 5,275 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 16 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5,275 Underlying: Common Stock · 5,275 shares Expires 2023-04-03 F13 · price: The reported securities were included within 5,275 Units purchased by PVPFF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F14 · ownership.nature: Securities held of record by PVPFF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseSeries A Warrant (right to buy) · Derivative | 5,275 | Not disclosed Strike: $0.65 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 15 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5,275 Underlying: Common Stock · 5,275 shares Expires 2018-10-03 F13 · price: The reported securities were included within 5,275 Units purchased by PVPFF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F14 · ownership.nature: Securities held of record by PVPFF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseSeries B Warrant (right to buy) · Derivative | 15,007 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 14 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 15,007 Underlying: Common Stock · 15,007 shares Expires 2023-04-03 F11 · price: The reported securities were included within 15,007 Units purchased by PVPEF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F12 · ownership.nature: Securities held of record by PVPEF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseSeries A Warrant (right to buy) · Derivative | 15,007 | Not disclosed Strike: $0.65 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 13 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 15,007 Underlying: Common Stock · 15,007 shares Expires 2018-10-03 F11 · price: The reported securities were included within 15,007 Units purchased by PVPEF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F12 · ownership.nature: Securities held of record by PVPEF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseSeries B Warrant (right to buy) · Derivative | 769,989 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 12 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 769,989 Underlying: Common Stock · 769,989 shares Expires 2023-04-03 F7 · price: The reported securities were included within 769,989 Units purchased by Polaris Venture Partners V, L.P. ("PVP V"). F8 · ownership.nature: Securities held of record by PVP V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseSeries A Warrant (right to buy) · Derivative | 769,989 | Not disclosed Strike: $0.65 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 11 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 769,989 Underlying: Common Stock · 769,989 shares Expires 2018-10-03 F7 · price: The reported securities were included within 769,989 Units purchased by Polaris Venture Partners V, L.P. ("PVP V"). F8 · ownership.nature: Securities held of record by PVP V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseSeries B Warrant (right to buy) · Derivative | 6,478 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 10 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,478 Underlying: Common Stock · 6,478 shares Expires 2023-04-03 F5 · price: The reported securities were included within 6,478 Units purchased by PVPE IV. F3 · ownership.nature: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV. F4 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F6 · ownership.nature: Securities held of record by PVPE IV. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseSeries A Warrant (right to buy) · Derivative | 6,478 | Not disclosed Strike: $0.65 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 9 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,478 Underlying: Common Stock · 6,478 shares Expires 2018-10-03 F5 · price: The reported securities were included within 6,478 Units purchased by PVPE IV. F3 · ownership.nature: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV. F4 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F6 · ownership.nature: Securities held of record by PVPE IV. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseSeries B Warrant (right to buy) · Derivative | 345,551 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 8 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 345,551 Underlying: Common Stock · 345,551 shares Expires 2023-04-03 F1 · price: The reported securities were included within 345,551 Units purchased by Polaris Venture Partners IV, L.P. ("PVP IV") for $0.65 per Unit (each, a "Unit"). Each Unit consisted of one share of common stock, one Series A Warrant to purchase one share of common stock at an exercise price of $0.65 per share, and one Series B Warrant to purchase one share of common stock at an exercise price of $0.75 per share. F2 · ownership.nature: Securities held of record by PVP IV. F3 · ownership.nature: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV. F4 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseSeries A Warrant (right to buy) · Derivative | 345,551 | Not disclosed Strike: $0.65 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 7 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 345,551 Underlying: Common Stock · 345,551 shares Expires 2018-10-03 F1 · price: The reported securities were included within 345,551 Units purchased by Polaris Venture Partners IV, L.P. ("PVP IV") for $0.65 per Unit (each, a "Unit"). Each Unit consisted of one share of common stock, one Series A Warrant to purchase one share of common stock at an exercise price of $0.65 per share, and one Series B Warrant to purchase one share of common stock at an exercise price of $0.75 per share. F2 · ownership.nature: Securities held of record by PVP IV. F3 · ownership.nature: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV. F4 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseCommon Stock | 7,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · nonDerivative · entry 6 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 34,587 F15 · price: The reported securities were included within 7,700 Units purchased by PVPSFF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F16 · ownership.nature: Securities held of record by PVPSFF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseCommon Stock | 5,275 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · nonDerivative · entry 5 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 23,875 F13 · price: The reported securities were included within 5,275 Units purchased by PVPFF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F14 · ownership.nature: Securities held of record by PVPFF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseCommon Stock | 15,007 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · nonDerivative · entry 4 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 67,729 F11 · price: The reported securities were included within 15,007 Units purchased by PVPEF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F12 · ownership.nature: Securities held of record by PVPEF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseCommon Stock | 769,989 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · nonDerivative · entry 3 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,468,190 F7 · price: The reported securities were included within 769,989 Units purchased by Polaris Venture Partners V, L.P. ("PVP V"). F8 · ownership.nature: Securities held of record by PVP V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseCommon Stock | 6,478 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · nonDerivative · entry 2 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 29,178 F5 · price: The reported securities were included within 6,478 Units purchased by PVPE IV. F3 · ownership.nature: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV. F4 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F6 · ownership.nature: Securities held of record by PVPE IV. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseCommon Stock | 345,551 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · nonDerivative · entry 1 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,556,676 F1 · price: The reported securities were included within 345,551 Units purchased by Polaris Venture Partners IV, L.P. ("PVP IV") for $0.65 per Unit (each, a "Unit"). Each Unit consisted of one share of common stock, one Series A Warrant to purchase one share of common stock at an exercise price of $0.65 per share, and one Series B Warrant to purchase one share of common stock at an exercise price of $0.75 per share. F2 · ownership.nature: Securities held of record by PVP IV. F3 · ownership.nature: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV. F4 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.