Amended Statement of Ownership (sc 13g/a)
February 09 2017 - 4:13PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
WASHINGTON,
DC 20549
Amendment
No. 4
To
SCHEDULE
13G
(Rule
13d-102)
INFORMATION
TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO
RULE 13d-1(b) (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO
RULE
13d-2(b)
PULMATRIX,
INC.
(Name
of Issuer)
COMMON
STOCK, PAR VALUE $0.0001 PER SHARE
(Title
of Class of Securities)
74584P103
(CUSIP
Number)
December
31, 2016
(Date
of Event Which Requires Filing of This Statement)
Check
the appropriate box to designate the rule pursuant to which this Schedule is filed:
[ ] Rule 13d-1(b)
[X] Rule 13d-1(c)
[ ] Rule 13d-1(d)
|
1
|
NAME
OF REPORTING PERSONS
S.S.
OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Barry
Honig
|
|
|
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
|
(a) [ ]
(b) [ ]
|
|
3
|
SEC
USE ONLY
|
|
|
4
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
United
States
|
|
|
NUMBER
OF SHARES
|
5
|
SOLE
VOTING POWER
282,650
|
|
BENEFICIALLY
OWNED
BY
|
6
|
SHARED
VOTING POWER
0
|
|
EACH
REPORTING
|
7
|
SOLE
DISPOSITIVE POWER
282,650
|
|
PERSON
WITH
|
8
|
SHARED
DISPOSITIVE POWER
0
|
|
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
282,650
|
|
10
|
CHECK
IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
11
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
1.92%
(Based on 14,701,564 shares of common stock outstanding as of November 2, 2016)
|
|
12
|
TYPE
OF REPORTING PERSON*
IN
|
Item
1(a). Name of Issuer:
Pulmatrix,
Inc., a Delaware corporation (“Issuer”)
Item
1(b). Address of Issuer's Principal Executive Offices:
99
Hayden Avenue, Suite 390
Lexington,
MA 02421
Item
2(a). Name of Person Filing.
The
statement is filed on behalf of Barry Honig (the “Reporting Person”).
Item
2(b). Address of Principal Business Office or, if None, Residence.
555
South Federal Highway #450, Boca Raton, FL 33432
Item
2(c). Citizenship.
The
Reporting Person is a citizen of the United States.
Item
2(d). Title of Class of Securities.
Common
Stock, par value $0.0001.
Item
2(e). CUSIP Number.
74584P103
Item
3. Type of Person
Not
applicable.
Item
4. Ownership.
(a)
Amount beneficially owned: 282,650
(b)
Percent of class:
1.92% (Based on 14,701,564 shares of common stock outstanding as of November
2, 2016)
(c)
Number of shares as to which the person has:
(i)
Sole power to vote or to direct the vote: 282,650
(ii)
Shared power to vote or to direct the vote: 0
(iii)
Sole power to dispose or to direct the disposition of: 282,650
(iv)
Shared power to dispose or to direct the disposition of: 0
Item
5. Ownership of Five Percent or Less of a Class.
[X]
Item
6. Ownership of More than Five Percent on Behalf of Another Person.
Not
applicable.
Item
7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported by the Parent Holding Company.
Not
applicable.
Item
8. Identification and Classification of Members of the Group.
Not
applicable.
Item
9. Notice of Dissolution of Group.
Not
applicable.
Item
10. Certifications.
By
signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are
not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were
not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
SIGNATURE
After
reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true,
complete and correct.
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Date:
February 9, 2017
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By:
|
/s/
Barry Honig
|
|
|
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Barry
Honig
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