<SEC-DOCUMENT>0001144204-15-039103.txt : 20150625
<SEC-HEADER>0001144204-15-039103.hdr.sgml : 20150625
<ACCEPTANCE-DATETIME>20150625161305
ACCESSION NUMBER:		0001144204-15-039103
CONFORMED SUBMISSION TYPE:	4/A
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20150615
FILED AS OF DATE:		20150625
DATE AS OF CHANGE:		20150625

ISSUER:		

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			Pulmatrix, Inc.
		CENTRAL INDEX KEY:			0001574235
		STANDARD INDUSTRIAL CLASSIFICATION:	PHARMACEUTICAL PREPARATIONS [2834]
		IRS NUMBER:				461821392
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	BUSINESS ADDRESS:	
		STREET 1:		99 HAYDEN AVENUE
		STREET 2:		SUITE 390
		CITY:			LEXINGTON
		STATE:			MA
		ZIP:			02421
		BUSINESS PHONE:		(781) 357-2333

	MAIL ADDRESS:	
		STREET 1:		99 HAYDEN AVENUE
		STREET 2:		SUITE 390
		CITY:			LEXINGTON
		STATE:			MA
		ZIP:			02421

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	Ruthigen, Inc.
		DATE OF NAME CHANGE:	20130411

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			ROCKLAGE SCOTT M
		CENTRAL INDEX KEY:			0001219014

	FILING VALUES:
		FORM TYPE:		4/A
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-36199
		FILM NUMBER:		15951958

	MAIL ADDRESS:	
		STREET 1:		179 SANDY POND ROAD
		CITY:			LINCOLN
		STATE:			MA
		ZIP:			01773
</SEC-HEADER>
<DOCUMENT>
<TYPE>4/A
<SEQUENCE>1
<FILENAME>v414074_4a.xml
<DESCRIPTION>OWNERSHIP DOCUMENT
<TEXT>
<XML>
<?xml version="1.0"?>
<ownershipDocument>

    <schemaVersion>X0306</schemaVersion>

    <documentType>4/A</documentType>

    <periodOfReport>2015-06-15</periodOfReport>

    <dateOfOriginalSubmission>2015-06-17</dateOfOriginalSubmission>

    <notSubjectToSection16>0</notSubjectToSection16>

    <issuer>
        <issuerCik>0001574235</issuerCik>
        <issuerName>Pulmatrix, Inc.</issuerName>
        <issuerTradingSymbol>PULM</issuerTradingSymbol>
    </issuer>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001219014</rptOwnerCik>
            <rptOwnerName>ROCKLAGE SCOTT M</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>C/O PULMATRIX, INC., 990 HAYDEN AVE</rptOwnerStreet1>
            <rptOwnerStreet2></rptOwnerStreet2>
            <rptOwnerCity>LEXINGTON</rptOwnerCity>
            <rptOwnerState>MA</rptOwnerState>
            <rptOwnerZipCode>02421</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>1</isDirector>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>0</isTenPercentOwner>
            <isOther>0</isOther>
            <officerTitle></officerTitle>
            <otherText></otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <derivativeTable>
        <derivativeTransaction>
            <securityTitle>
                <value>Warrants to Purchase Common Stock</value>
            </securityTitle>
            <conversionOrExercisePrice>
                <value>7.55</value>
                <footnoteId id="F1"/>
            </conversionOrExercisePrice>
            <transactionDate>
                <value>2015-06-15</value>
            </transactionDate>
            <deemedExecutionDate></deemedExecutionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>A</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
            </transactionCoding>
            <transactionTimeliness></transactionTimeliness>
            <transactionAmounts>
                <transactionShares>
                    <value>372606</value>
                    <footnoteId id="F5"/>
                </transactionShares>
                <transactionPricePerShare>
                    <footnoteId id="F5"/>
                </transactionPricePerShare>
                <transactionAcquiredDisposedCode>
                    <value>A</value>
                </transactionAcquiredDisposedCode>
            </transactionAmounts>
            <exerciseDate>
                <footnoteId id="F6"/>
                <footnoteId id="F7"/>
            </exerciseDate>
            <expirationDate>
                <footnoteId id="F6"/>
                <footnoteId id="F7"/>
            </expirationDate>
            <underlyingSecurity>
                <underlyingSecurityTitle>
                    <value>Common Stock</value>
                </underlyingSecurityTitle>
                <underlyingSecurityShares>
                    <value>372606</value>
                    <footnoteId id="F2"/>
                </underlyingSecurityShares>
            </underlyingSecurity>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>372606</value>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>I</value>
                </directOrIndirectOwnership>
                <natureOfOwnership>
                    <value>See Footnote</value>
                    <footnoteId id="F3"/>
                </natureOfOwnership>
            </ownershipNature>
        </derivativeTransaction>
        <derivativeTransaction>
            <securityTitle>
                <value>Warrants to Purchase Common Stock</value>
            </securityTitle>
            <conversionOrExercisePrice>
                <value>7.55</value>
                <footnoteId id="F1"/>
            </conversionOrExercisePrice>
            <transactionDate>
                <value>2015-06-15</value>
            </transactionDate>
            <deemedExecutionDate></deemedExecutionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>A</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
            </transactionCoding>
            <transactionTimeliness></transactionTimeliness>
            <transactionAmounts>
                <transactionShares>
                    <value>52784</value>
                    <footnoteId id="F8"/>
                </transactionShares>
                <transactionPricePerShare>
                    <footnoteId id="F8"/>
                </transactionPricePerShare>
                <transactionAcquiredDisposedCode>
                    <value>A</value>
                </transactionAcquiredDisposedCode>
            </transactionAmounts>
            <exerciseDate>
                <footnoteId id="F6"/>
                <footnoteId id="F7"/>
            </exerciseDate>
            <expirationDate>
                <footnoteId id="F6"/>
                <footnoteId id="F7"/>
            </expirationDate>
            <underlyingSecurity>
                <underlyingSecurityTitle>
                    <value>Common Stock</value>
                </underlyingSecurityTitle>
                <underlyingSecurityShares>
                    <value>52784</value>
                    <footnoteId id="F2"/>
                </underlyingSecurityShares>
            </underlyingSecurity>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>52784</value>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>I</value>
                </directOrIndirectOwnership>
                <natureOfOwnership>
                    <value>See Footnote</value>
                    <footnoteId id="F4"/>
                </natureOfOwnership>
            </ownershipNature>
        </derivativeTransaction>
    </derivativeTable>

    <footnotes>
        <footnote id="F1">The initial Form 4 filed on June 17, 2015 by the Reporting Person contained an exercise price for these warrants of $7.5625.  This Form 4/A is being filed to correct the exercise price of the warrants to $7.55.</footnote>
        <footnote id="F2">Reflects a 1-for-2.5 reverse stock split effected on June 15, 2015.</footnote>
        <footnote id="F3">Represents securities held of record by 5AM Ventures, LLC. 5AM Partners, LLC is the manager of 5AM Ventures, LLC and may be deemed to have beneficial ownership over the shares beneficially owned by 5AM Ventures, LLC. Dr. John Diekman and Andrew Schwab, the managing directors of 5AM Partners, LLC, may be deemed to have beneficial ownership over the shares beneficially owned by 5AM Ventures, LLC. Dr. Rocklage is a director of and owns an interest in 5AM Partners, LLC and also may be deemed to have beneficial ownership over the shares beneficially owned by 5AM Ventures, LLC.  Each of 5AM Partners, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.</footnote>
        <footnote id="F4">Represents securities held of record by 5AM Co-Investors, LLC. 5AM Partners, LLC is the manager of 5AM Co-Investors, LLC and may be deemed to have beneficial ownership over the shares beneficially owned by 5AM Co-Investors, LLC. Dr. John Diekman and Andrew Schwab, the managing directors of 5AM Partners, LLC, may be deemed to have beneficial ownership over the shares beneficially owned by 5AM Co-Investors, LLC. Dr. Rocklage is a director of and owns an interest in 5AM Partners, LLC and also may be deemed to have beneficial ownership over the shares beneficially owned by 5AM Co-Investors, LLC.  Each of 5AM Partners, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.</footnote>
        <footnote id="F5">On June 15, 2015, 5AM Ventures, LLC received these warrants to purchase shares of the Issuer's Common Stock in exchange for warrants to purchase 6,286,069 shares of common stock of a private company formerly known as Pulmatrix, Inc. (the &quot;Former Entity&quot;) with an exercise price of $0.448266 in connection with the merger of the Former Entity into the Issuer (the &quot;Merger&quot;).</footnote>
        <footnote id="F6">These warrants are exercisable (the &quot;Initial Exercise Date&quot;) upon the earliest to occur of (a) the Issuer entering into a strategic license agreement with a third party related to any of the Issuer's products pursuant to which the Issuer is guaranteed to receive consideration from such third party consisting of cash, marketable securities or a combination thereof having a value of at least $20,000,000 in the aggregate; (b) the Issuer consummating a public or private offering of Common Stock or common stock equivalents resulting in gross proceeds to the Issuer of at least $20,000,000 at a price per share of at least $4.00 per share (subject to adjustment for stock splits, reverse stock splits, stock dividends and other similar events, but no adjustment shall be made in respect of the Merger);</footnote>
        <footnote id="F7">(c) the volume weighted average price per share of Common Stock exceeding $5.00 (subject to adjustment for stock splits, reverse stock splits, stock dividends and other similar events, but no adjustment shall be made in respect of the Merger) for a period of sixty consecutive trading days and the average daily trading volume exceeds 100,000 (subject to adjustment for stock splits, reverse stock splits, stock dividends and other similar events, but no adjustment shall be made in respect of the Merger) shares of Common Stock per trading day; or (d) a change of control.  These warrants expire five years from the Initial Exercise Date.</footnote>
        <footnote id="F8">On June 15, 2015, 5AM Co-Investors, LLC received these warrants to purchase shares of the Issuer's Common Stock in exchange for warrants to purchase 890,490 shares of common stock of the Former Entity with an exercise price of $0.448266 in connection with the Merger.</footnote>
    </footnotes>

    <ownerSignature>
        <signatureName>/s/ Garrett Winslow, Attorney-in-fact</signatureName>
        <signatureDate>2015-06-25</signatureDate>
    </ownerSignature>
</ownershipDocument>
</XML>
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
