Current Report Filing (8-k)
April 04 2018 - 4:09PM
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): April 4, 2018
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 of incorporation)
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(Commission File No.)
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(IRS Employer Identification No.)
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99 Hayden Avenue, Suite 390
Lexington, MA 02421
(Address of principal executive offices) (Zip Code)
Registrants telephone number, including area code: (781)
357-2333
Not Applicable
(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 (
see
General Instruction A.2. below):
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule
14a-12
under the Exchange Act (17 CFR
240.14a-12)
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☐
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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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Indicate by check mark whether the registrant is an emerging growth company as
defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule
12b-2
of the Securities Exchange Act of 1934
(§240.12b-2
of this chapter).
Emerging growth company ☒
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or
revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 8.01.
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Other Information.
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On April 3, 2018, Pulmatrix, Inc. (the Company) closed its
previously announced firm commitment underwritten public offering in which, pursuant to the underwriting agreement (the Underwriting Agreement) entered into between the Company and Oppenheimer & Co. Inc., as representative of
the underwriters (the Underwriters), dated March 28, 2018, the Company issued and sold (i) 15,660,000 common units (Common Units), with each Common Unit being comprised of one share of the Companys common stock,
par value $0.0001 per share (the Common Stock), one Series A warrant (collectively, the Series A Warrants) to purchase one share of Common Stock and one Series B warrant (collectively, the Series B Warrants) to
purchase one share of Common Stock, and (ii) 7,840,000
pre-funded
units (the
Pre-Funded
Units and, together with the Common Units, the Units),
with each
Pre-Funded
Unit being comprised of one
pre-funded
warrant to purchase one share of Common Stock, one Series A Warrant and one Series B Warrant. The public
offering price was $0.65 per Common Unit and $0.64 per
Pre-Funded
Unit, and the gross proceeds received by the Company on April 3, 2018 pursuant to such sales were approximately $15.2 million, prior
to deducting underwriting discounts and commissions and other estimated offering expenses.
In addition, on April 4, 2018, the Company closed on the
sale of 1,150,000 additional Common Units pursuant to the Underwriters option to purchase up to an additional 1,150,000 Units, which was exercised in full. After giving effect to the exercise of the Underwriters overallotment option, the
gross proceeds from the offering were approximately $15.9 million, prior to deducting underwriting discounts and commissions and other estimated offering expenses.
For more information concerning the offering, the Units, the Series A Warrants and the Series B Warrants, please see the Companys Current Report on Form
8-K
dated March 28, 2018 and filed with the Securities and Exchange Commission on March 29, 2018.
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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Date: April 4, 2018
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By:
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/s/ William Duke, Jr.
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William Duke, Jr.
Chief Financial
Officer
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