Cabell Christopher

SEC source: 0001193125-26-068077 · ownership.xml · nonDerivative · entry 1

Cabell Christopher · CIK 0001814928 · President & Head of R&D

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 676,564

F1 · shares: As previously reported on a Form 3/A filed on August 28, 2025, the Reporting Person received shares of Issuer common stock as merger consideration upon the completion of the acquisition of CorHepta Pharmaceuticals, Inc. on February 21, 2025 (the "Closing Date"), with 338,282 shares subject to forfeiture if a certain milestone is not achieved by the first anniversary of the Closing Date. On February 21, 2026, it was determined that such milestone was not achieved, resulting in the forfeiture of all 338,282 shares. The Reporting Person received no consideration from the Issuer in connection with such forfeiture.

F1 · balance_after: As previously reported on a Form 3/A filed on August 28, 2025, the Reporting Person received shares of Issuer common stock as merger consideration upon the completion of the acquisition of CorHepta Pharmaceuticals, Inc. on February 21, 2025 (the "Closing Date"), with 338,282 shares subject to forfeiture if a certain milestone is not achieved by the first anniversary of the Closing Date. On February 21, 2026, it was determined that such milestone was not achieved, resulting in the forfeiture of all 338,282 shares. The Reporting Person received no consideration from the Issuer in connection with such forfeiture.

SEC source: 0001193125-26-006350 · ownership.xml · derivative · entry 1

Cabell Christopher · CIK 0001814928 · President & Head of R&D

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 900,117

Underlying: Common Stock · 900,117 shares

Expires 2036-01-05

F1 · derivative.exercise_date: The shares underlying the option shall vest and become exercisable in 36 equal monthly installments commencing from January 5, 2026, subject to the Reporting Person's continued employment through each such vesting date.

SEC source: 0000950170-25-026652 · ownership.xml · derivative · entry 1

Cabell Christopher · CIK 0001814928 · President & Head of R&D

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,100,705

Underlying: Common Stock · 1,100,705 shares

Expires 2035-02-21

F1 · derivative.exercise_date: The options will vest in three substantially equal installments on the second, third and fourth anniversaries of February 21, 2025, subject to the Reporting Person's continued services through such date.

SEC source: 0000950170-25-093445 · ownership.xml · derivative · entry 1

Cabell Christopher · CIK 0001814928 · President & Head of R&D

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,100,705

Underlying: Common Stock · 1,100,705 shares

Expires 2035-02-21

F1 · derivative.exercise_price: The Reporting Person's Form 4 filed with the SEC on February 25, 2025 inadvertently reported an incorrect exercise price with respect to the stock option award originally granted on February 21, 2025. This amendment is being filed solely to correct the exercise price.

F2 · derivative.exercise_date: The options will vest in three substantially equal installments on the second, third and fourth anniversaries of February 21, 2025, subject to the Reporting Person's continued services through such date.

SEC source: 0001104659-23-063312 · tm2316481-2_4seq1.xml · nonDerivative · entry 1

Cabell Christopher · CIK 0001814928 · CMO & Head of R&D

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 162,060

F1 · shares: The Reporting Person was granted an award of 162,060 Restricted Share Units ("RSUs") on May 18, 2023 (the "Grant Date"). Under the terms of the RSU grant, 25% of the RSUs vest on each of the anniversaries of the Grant Date, such that the RSUs vest equally over four years, subject to the Reporting Person's continued service with the Issuer.

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

Cabell Christopher · CIK 0001814928 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,700

Underlying: Common Stock · 1,700 shares

Expires 2033-01-26

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments with the first tranche vesting on January 26, 2023, provided that the reporting person is providing services to the Issuer on the applicable vesting date and subject to the terms and conditions of the Pulmatrix, Inc. Amended and Restated 2013 Employee, Director and Consultant Equity Incentive Plan.

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

Cabell Christopher · CIK 0001814928 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,100

Underlying: Common Stock · 22,100 shares

Expires 2032-01-27

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments with the first tranche vesting on January 27, 2022, provided that the reporting person is providing services to the Issuer on the applicable vesting date and subject to the terms and conditions of the Pulmatrix, Inc. Amended and Restated 2013 Employee, Director and Consultant Equity Incentive Plan.

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

Cabell Christopher · CIK 0001814928 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-01-28

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant, with the first tranche vesting on January 28, 2021, provided that the reporting person is providing services to the Issuer on the applicable vesting date and subject to the terms and conditions of the Pulmatrix, Inc. Amended and Restated 2013 Employee, Director and Consultant Equity Incentive Plan.

SEC source: 0001209191-20-060721 · doc4.xml · derivative · entry 3

Cabell Christopher · CIK 0001814928 · EVP, Head of R&D, and CMO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 2,500 shares

Expires 2022-01-03

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: On January 4, 2019, the Reporting Person was granted 5,000 target Performance Restricted Stock Units ("PRSUs"). The PRSUs represented a contingent right to receive a number of shares of Arena's common stock equal to 50%, 100%, or 200% of the target PRSU amount. Such common shares vest, if at all, upon Arena's common stock reaching certain Nasdaq "Closing Price" thresholds during the 3-year performance period from Jan. 4, 2019, through Jan. 3, 2022 (the "Performance Period") and satisfaction of a subsequent continuing service requirement. 2,500 of the shares subject to the PRSUs vested in Oct. 2019 (50% of the target amount). On Nov. 25, 2020, another 2,500 of the shares subject to the PRSUs vested (50% of the target amount). The final Closing Price target has been met and an additional 5,000 shares will be issuable pursuant to the PRSUs (200% of the target amount, less the 100% already vested) if the Reporting Person satisfies the subsequent continuing service requirement.

F1 · shares: On January 4, 2019, the Reporting Person was granted 5,000 target Performance Restricted Stock Units ("PRSUs"). The PRSUs represented a contingent right to receive a number of shares of Arena's common stock equal to 50%, 100%, or 200% of the target PRSU amount. Such common shares vest, if at all, upon Arena's common stock reaching certain Nasdaq "Closing Price" thresholds during the 3-year performance period from Jan. 4, 2019, through Jan. 3, 2022 (the "Performance Period") and satisfaction of a subsequent continuing service requirement. 2,500 of the shares subject to the PRSUs vested in Oct. 2019 (50% of the target amount). On Nov. 25, 2020, another 2,500 of the shares subject to the PRSUs vested (50% of the target amount). The final Closing Price target has been met and an additional 5,000 shares will be issuable pursuant to the PRSUs (200% of the target amount, less the 100% already vested) if the Reporting Person satisfies the subsequent continuing service requirement.

F1 · derivative.exercise_date: On January 4, 2019, the Reporting Person was granted 5,000 target Performance Restricted Stock Units ("PRSUs"). The PRSUs represented a contingent right to receive a number of shares of Arena's common stock equal to 50%, 100%, or 200% of the target PRSU amount. Such common shares vest, if at all, upon Arena's common stock reaching certain Nasdaq "Closing Price" thresholds during the 3-year performance period from Jan. 4, 2019, through Jan. 3, 2022 (the "Performance Period") and satisfaction of a subsequent continuing service requirement. 2,500 of the shares subject to the PRSUs vested in Oct. 2019 (50% of the target amount). On Nov. 25, 2020, another 2,500 of the shares subject to the PRSUs vested (50% of the target amount). The final Closing Price target has been met and an additional 5,000 shares will be issuable pursuant to the PRSUs (200% of the target amount, less the 100% already vested) if the Reporting Person satisfies the subsequent continuing service requirement.

F3 · derivative.underlying_shares: The amount reported in Column 7 of Table II represents the common shares that vested on November 25, 2020. The PRSUs' final Closing Price target has been met and the Reporting Person has a contingent right to receive 5,000 additional common shares if the subsequent continuing service requirement is met.

F1 · balance_after: On January 4, 2019, the Reporting Person was granted 5,000 target Performance Restricted Stock Units ("PRSUs"). The PRSUs represented a contingent right to receive a number of shares of Arena's common stock equal to 50%, 100%, or 200% of the target PRSU amount. Such common shares vest, if at all, upon Arena's common stock reaching certain Nasdaq "Closing Price" thresholds during the 3-year performance period from Jan. 4, 2019, through Jan. 3, 2022 (the "Performance Period") and satisfaction of a subsequent continuing service requirement. 2,500 of the shares subject to the PRSUs vested in Oct. 2019 (50% of the target amount). On Nov. 25, 2020, another 2,500 of the shares subject to the PRSUs vested (50% of the target amount). The final Closing Price target has been met and an additional 5,000 shares will be issuable pursuant to the PRSUs (200% of the target amount, less the 100% already vested) if the Reporting Person satisfies the subsequent continuing service requirement.

SEC source: 0001209191-20-060721 · doc4.xml · nonDerivative · entry 2

Cabell Christopher · CIK 0001814928 · EVP, Head of R&D, and CMO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,401

F2 · shares: Represents the number of shares withheld by, and surrendered to, Arena relating to tax withholding in connection with the issuance of shares under the PRSUs.

SEC source: 0001209191-20-060721 · doc4.xml · nonDerivative · entry 1

Cabell Christopher · CIK 0001814928 · EVP, Head of R&D, and CMO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

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 · shares: On January 4, 2019, the Reporting Person was granted 5,000 target Performance Restricted Stock Units ("PRSUs"). The PRSUs represented a contingent right to receive a number of shares of Arena's common stock equal to 50%, 100%, or 200% of the target PRSU amount. Such common shares vest, if at all, upon Arena's common stock reaching certain Nasdaq "Closing Price" thresholds during the 3-year performance period from Jan. 4, 2019, through Jan. 3, 2022 (the "Performance Period") and satisfaction of a subsequent continuing service requirement. 2,500 of the shares subject to the PRSUs vested in Oct. 2019 (50% of the target amount). On Nov. 25, 2020, another 2,500 of the shares subject to the PRSUs vested (50% of the target amount). The final Closing Price target has been met and an additional 5,000 shares will be issuable pursuant to the PRSUs (200% of the target amount, less the 100% already vested) if the Reporting Person satisfies the subsequent continuing service requirement.

SEC source: 0001209191-20-042910 · doc4.xml · derivative · entry 3

Cabell Christopher · CIK 0001814928 · EVP, Head of R&D, and CMO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,000

Underlying: Common Stock · 13,000 shares

Expires 2024-11-15

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 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan established by the reporting person.

F2 · derivative.exercise_date: The options vest over four years, with 25% of the shares subject to the option vesting on November 15, 2018, and the remainder of the shares vesting monthly over the following three years in equal installments (except as otherwise necessary to avoid vesting of a fractional share), and are exercisable once vested.

SEC source: 0001209191-20-042910 · doc4.xml · nonDerivative · entry 2

Cabell Christopher · CIK 0001814928 · EVP, Head of R&D, and CMO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan established by the reporting person.

SEC source: 0001209191-20-042910 · doc4.xml · nonDerivative · entry 1

Cabell Christopher · CIK 0001814928 · EVP, Head of R&D, and CMO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

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 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan established by the reporting person.

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

Cabell Christopher · CIK 0001814928 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-06-23

F1 · derivative.exercise_date: One-fourth (1/4) of the shares underlying this stock option will vest and become exercisable on the first anniversary of the date of grant, and an additional 2.083% of the shares underlying this option will vest on the last day of each of the thirty-six (36) months that follow the first anniversary of the date of grant, provided that the reporting person is providing services to the Issuer on the applicable vesting date and subject to the terms and conditions of the Pulmatrix, Inc. Amended and Restated 2013 Employee, Director and Consultant Equity Incentive Plan.

SEC source: 0001209191-20-037092 · doc4.xml · derivative · entry 1

Cabell Christopher · CIK 0001814928 · EVP, Head of R&D, and CMO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2027-06-12

F1 · derivative.exercise_date: The options vest over four years, with 25% of the shares subject to the option vesting on June 12, 2021, and the remainder of the shares vesting monthly over the following three years in equal installments (except as otherwise necessary to avoid vesting of a fractional share), and are exercisable once vested.