Iwicki Mark T

SEC source: 0001179110-21-000168 · edgar.xml · derivative · entry 2

Iwicki Mark T · CIK 0001415537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 303,000

Underlying: Common Stock · 303,000 shares

Expires 2031-01-03

F3 · derivative.exercise_date: This option was granted on January 4, 2021 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001179110-21-000168 · edgar.xml · nonDerivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 303,860

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued employment with Issuer, the RSUs will vest as to 1/3 of the shares underlying the RSUs on January 4, 2022, as to 1/3 of the shares underlying the RSUs on January 4, 2023 and as to the final 1/3 of shares underlying the RSUs on January 4, 2024.

F2 · balance_after: Includes 303,860 unvested RSUs.

SEC source: 0001179110-20-010707 · edgar.xml · nonDerivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,860

F1 · security: On June 25, 2020, the reporting person was granted performance-based restricted stock unit ("RSUs") under the Issuer's 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued employment with the Issuer, the RSUs will vest as to 50% of the shares underlying the RSUs on October 26, 2021, the first anniversary of the achievement of the performance condition, and as to the remaining 50% of the shares underlying the RSUs on October 26, 2022, the second anniversary of the achievement of the performance condition.

F2 · balance_after: Includes 227,860 unvested RSUs.

SEC source: 0000899243-20-028174 · doc4.xml · derivative · entry 9

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,398 shares

Expires not disclosed

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option.

F3 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option.

SEC source: 0000899243-20-028174 · doc4.xml · derivative · entry 8

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,432 shares

Expires not disclosed

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option.

F3 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option.

SEC source: 0000899243-20-028174 · doc4.xml · derivative · entry 7

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,500 shares

Expires not disclosed

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option.

F3 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option.

SEC source: 0000899243-20-028174 · doc4.xml · derivative · entry 6

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,500 shares

Expires not disclosed

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option.

F3 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option.

SEC source: 0000899243-20-028174 · doc4.xml · derivative · entry 5

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,755 shares

Expires not disclosed

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option.

F3 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option.

SEC source: 0000899243-20-028174 · doc4.xml · derivative · entry 4

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 87,368 shares

Expires not disclosed

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option.

F3 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option.

SEC source: 0000899243-20-028174 · doc4.xml · derivative · entry 3

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 52,421 shares

Expires not disclosed

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option.

F3 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option.

SEC source: 0000899243-20-028174 · doc4.xml · nonDerivative · entry 2

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Disposed of to SPN MergerSub, Inc. ("Merger Sub"), which, pursuant to the Agreement and Plan of Merger, dated August 29, 2020, by and between the Issuer, Societes des Produits Nestle S.A., ("Nestle"), and Merger Sub (the "Merger Agreement"), commenced a tender offer to acquire any and all of the outstanding shares of the Issuer's common stock (other than those shares owned by Nestle and its affiliates) at a purchase price of $34.50 per share (the "Offer Price").

F2 · shares: Pursuant to the Merger Agreement, each Issuer restricted stock unit ("RSU") that was outstanding immediately prior to the date and time at which the Merger became effective (the "Effective Time") vested in full, terminated, and was converted into the right to receive a cash payment equal to (i) the Offer Price multiplied by (ii) the number of shares of common stock subject to the RSU.

SEC source: 0000899243-20-028174 · doc4.xml · nonDerivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001209191-20-040204 · doc4.xml · derivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,631

Underlying: Common Shares · 8,631 shares

Expires 2030-06-30

F1 · derivative.exercise_date: Options vest over a one-year period commencing June 30, 2020 in 12 equal monthly installments.

SEC source: 0001104659-20-078323 · a4.xml · nonDerivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,560

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued employment with the Issuer, the RSUs will vest as to 50% of the shares underlying the RSUs on June 25, 2021 and the remaining 50% of the shares underlying the RSUs on June 25, 2022.

F2 · balance_after: Includes 49,560 unvested RSUs.

SEC source: 0001104659-20-069075 · a4.xml · derivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2030-05-31

F1 · derivative.exercise_date: This option shall vest in full upon the earlier of the first anniversary of the date of grant or the date of the next annual meeting, all vesting shall cease if the director resigns from the Board or otherwise ceases to service as a director.

SEC source: 0000899243-20-014621 · doc4.xml · derivative · entry 2

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,398

Underlying: Common Stock · 15,398 shares

Expires 2030-05-26

F2 · derivative.exercise_date: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2021 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

SEC source: 0000899243-20-014621 · doc4.xml · nonDerivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,407

F1 · shares: These shares represent restricted stock units ("RSUs") and will be settled in common stock upon vesting. The RSUs vest on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2021 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

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

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2030-04-02

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant, with the first tranche vesting on May 2, 2020, provided that the reporting person is providing services to the Issuer on the applicable vesting date and subject to the terms and conditions of the Pulmatrix, Inc. Amended and Restated 2013 Employee, Director and Consultant Equity Incentive Plan.

SEC source: 0000899243-20-001093 · doc4.xml · derivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-01-09

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant, with the first tranche vesting on January 9, 2020, provided that the reporting person is providing services to the Issuer on the applicable vesting date and subject to the terms and conditions of the Pulmatrix, Inc. Amended and Restated 2013 Employee, Director and Consultant Equity Incentive Plan.

SEC source: 0001179110-20-000161 · edgar.xml · derivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 365,000

Underlying: Common Stock · 365,000 shares

Expires 2030-01-01

F1 · derivative.exercise_date: This option was granted on January 2, 2020 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0000899243-19-014962 · doc4.xml · derivative · entry 2

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,432

Underlying: Common Stock · 11,432 shares

Expires 2029-05-23

F2 · derivative.exercise_date: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2020 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

SEC source: 0000899243-19-014962 · doc4.xml · nonDerivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,567

F1 · shares: These shares represent restricted stock units ("RSUs") and will be settled in common stock upon vesting. The RSUs vest on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2020 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

SEC source: 0000899243-19-014138 · doc4.xml · derivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2029-05-16

F1 · derivative.exercise_date: The option vests in forty-eight (48) equal monthly installments on the 16th day of each month, with the first tranche vesting on June 16, 2019, provided that the reporting person is providing services to the Issuer on the applicable vesting date and subject to the terms and conditions of the Pulmatrix, Inc. Amended and Restated 2013 Employee, Director and Consultant Equity Incentive Plan.

SEC source: 0001179110-19-000462 · edgar.xml · derivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 460,000

Underlying: Common Stock · 460,000 shares

Expires 2029-01-01

F1 · derivative.exercise_date: This option was granted on January 2, 2019 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0000899243-18-015301 · doc4.xml · derivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,000

Underlying: Common Stock · 155,000 shares

Expires 2028-06-05

F1 · derivative.exercise_date: One-fourth (1/4) of the option vested on June 5, 2018 and the remainder vests in thirty-six (36) equal monthly installments with 2.083% vesting on the last day of each of the next thirty-six (36) months that follow June 5, 2018, provided that the reporting person is providing services to the Issuer on the applicable vesting date and subject to the terms and conditions of the Pulmatrix, Inc. 2013 Employee, Director and Consultant Equity Incentive Plan.

SEC source: 0000899243-18-013926 · doc4.xml · derivative · entry 2

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2028-05-23

F2 · derivative.exercise_date: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2019 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

SEC source: 0000899243-18-013926 · doc4.xml · nonDerivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,125

F1 · shares: These shares represent restricted stock units ("RSUs") and will be settled in common stock upon vesting. The RSUs vest on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2019 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

SEC source: 0000899243-18-009609 · doc4.xml · derivative · entry 3

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 307,000

Underlying: Common Stock · 307,000 shares

Expires 2023-04-03

F1 · price: The reported securities were included within 307,000 Units purchased by the reporting person for $0.65 per Unit. Each Unit consisted of one share of common stock, one Series A Warrant to purchase one share of common stock at an exercise price of $0.65 per share, and one Series B Warrant to purchase one share of common stock at an exercise price of $0.75 per share.

SEC source: 0000899243-18-009609 · doc4.xml · derivative · entry 2

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 307,000

Underlying: Common Stock · 307,000 shares

Expires 2018-10-03

F1 · price: The reported securities were included within 307,000 Units purchased by the reporting person for $0.65 per Unit. Each Unit consisted of one share of common stock, one Series A Warrant to purchase one share of common stock at an exercise price of $0.65 per share, and one Series B Warrant to purchase one share of common stock at an exercise price of $0.75 per share.

SEC source: 0000899243-18-009609 · doc4.xml · nonDerivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 307,000

F1 · price: The reported securities were included within 307,000 Units purchased by the reporting person for $0.65 per Unit. Each Unit consisted of one share of common stock, one Series A Warrant to purchase one share of common stock at an exercise price of $0.65 per share, and one Series B Warrant to purchase one share of common stock at an exercise price of $0.75 per share.

SEC source: 0000899243-18-005465 · doc4.xml · nonDerivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,375

F1 · kind: Reporting Person purchased 9,375 shares of Issuer's common stock in connection with a public offering at the offering price of $32.00 per share.

SEC source: 0001179110-18-001893 · edgar.xml · derivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,000

Underlying: Common Stock · 230,000 shares

Expires 2028-02-06

F1 · derivative.exercise_date: This option was granted on February 7, 2018 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001179110-17-010601 · edgar.xml · derivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,632

Underlying: Common Stock · 78,632 shares

Expires 2027-07-18

F1 · derivative.exercise_date: This option was granted, effective on July 19, 2017 and vests over four years, with 2.0833% of the shares underlying the option vesting on August 31, 2017 and an additional 2.0833% of the shares vesting at the end of each successive one-month period thereafter.

SEC source: 0000899243-17-014689 · doc4.xml · derivative · entry 2

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,500

Underlying: Common Stock · 17,500 shares

Expires 2027-05-25

F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2018 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

SEC source: 0000899243-17-008418 · doc4.xml · derivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,400

Underlying: Common Stock · 4,400 shares

Expires 2027-03-20

F1 · derivative.exercise_date: One-fourth (1/4) of the option vests on March 20, 2018 and the remainder vests in thirty-six (36) equal monthly installments with 2.083% vesting for each of the next thirty-six (36) months that follow March 20, 2018, subject to the terms and conditions of the Pulmatrix, Inc. 2013 Employee, Director and Consultant Equity Incentive Plan.