Current Report Filing (8-k)
January 13 2017 - 4:32PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): January 11, 2017
Pulmatrix, Inc.
(Exact
Name of Registrant as Specified in its Charter)
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Delaware
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001-36199
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46-1821392
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(State or other jurisdiction
of incorporation)
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(Commission File Number)
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(IRS Employer
Identification No.)
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99 Hayden Avenue, Suite 390
Lexington, MA 02421
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02421
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(Address of principal executive offices)
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(Zip Code)
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Registrants telephone number, including area code: (781)
357-2333
(Former name
or former address, if changed since last report)
Check the
appropriate box below if the Form
8-K
filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule
14a-12
under the Exchange Act (17 CFR
240.14a-12)
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Pre-commencement
communications pursuant to Rule
14d-2(b)
under the Exchange Act (17 CFR
240.14d-2(b))
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☐
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Pre-commencement
communications pursuant to Rule
13e-4
(c) under the Exchange Act (17 CFR
240.13e-4(c)
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Item 3.01.
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Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.
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On January 11, 2017, Pulmatrix, Inc. (the Company) was notified by the Nasdaq Stock Market (Nasdaq) that it is not
in compliance with the continued listing requirement for the Nasdaq Global Select Market contained in Nasdaq Listing Rule 5450(b)(1)(C) requiring the Company to maintain a minimum Market Value of Publicly Held Shares (MVPHS) of
$5,000,000. The notification letter does not impact the Companys listing on the Nasdaq Global Select Market at this time. Pursuant to Nasdaq Listing Rules, the Company has 180 calendar days, or until July 10, 2017, to regain compliance
with Nasdaq Listing Rule 5450(b)(1)(C). To regain compliance, the Companys MVPHS must close at $5,000,000 or more for a minimum of 10 consecutive business days.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by
the undersigned hereunto duly authorized.
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PULMATRIX, INC.
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Dated: January 13, 2017
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By:
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/s/ William Duke, Jr.
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Name: William Duke, Jr.
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Title: Chief Financial Officer
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