PULM / Pulmatrix, Inc. - Документы SEC, Годовой отчет, Доверенное заявление

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36199 PULMATRIX,

Pulmatrix Announces Second Quarter 2025 Financial Results and Divestment Plan for Inhalation Assets Proposed merger anticipated to close in 2025 As part of the proposed merger, Pulmatrix currently intends to divest its assets including its proprietar

Exhibit 99.1 Pulmatrix Announces Second Quarter 2025 Financial Results and Divestment Plan for Inhalation Assets Proposed merger anticipated to close in 2025 As part of the proposed merger, Pulmatrix currently intends to divest its assets including its proprietary dry powder delivery technology, iSPERSE™, which enables delivery of small or large molecule drugs to the lungs by inhalation Framingham

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): August 6, 2025 PULMATRIX, INC. (E

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): August 6, 2025 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Num

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): June 16, 2025 PULMATRIX, INC. (Ex

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): June 16, 2025 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Numb

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): June 16, 2025 PULMATRIX, INC. (Ex

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): June 16, 2025 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Numb

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): May 15, 2025 PULMATRIX, INC. (Exa

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): May 15, 2025 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Numbe

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36199 PULMATRIX

Pulmatrix Announces First Quarter 2025 Financial Results and Divestment Plan for Assets Registration statement for proposed Cullgen merger declared effective by the SEC Proposed merger anticipated to close in June As part of proposed merger, Pulmatri

Exhibit 99.1 Pulmatrix Announces First Quarter 2025 Financial Results and Divestment Plan for Assets Registration statement for proposed Cullgen merger declared effective by the SEC Proposed merger anticipated to close in June As part of proposed merger, Pulmatrix currently intends to divest its assets including its Phase 2-ready acute migraine candidate, PUR3100, and other development candidates

PROPOSED MERGER YOUR VOTE IS VERY IMPORTANT

TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(3) Registration No. 333-284993                         PROPOSED MERGER   YOUR VOTE IS VERY IMPORTANT To the Stockholders of Pulmatrix, Inc. and Cullgen Inc., Pulmatrix, Inc., a Delaware corporation (“Pulmatrix”) and Cullgen Inc., a Delaware corporation (“Cullgen”), entered into an Agreement and Plan of Merger and Reorganization on November 13, 2024,

May 8, 2025

May 8, 2025 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F. Street, N.E. Washington, D.C. 20549 Attn: Christine Torney Daniel Gordon Tyler Howes Joe McCann Re: Pulmatrix, Inc. Registration Statement on Form S-4, as amended Filed on February 14, 2025, as amended on April 17, 2025, and May 7, 2025 File No. 333-284993 Ladies and Gentlemen: This letter is submi

Consent to be Named as a Director

Exhibit 99.7 Consent to be Named as a Director Pulmatrix, Inc. is filing a Registration Statement on Form S-4 (the “Registration Statement”) with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”). In connection therewith, I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement and any and al

Consent to be Named as a Director

Exhibit 99.4 Consent to be Named as a Director Pulmatrix, Inc. is filing a Registration Statement on Form S-4 (the “Registration Statement”) with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”). In connection therewith, I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement and any and al

Consent to be Named as a Director

Exhibit 99.2 Consent to be Named as a Director Pulmatrix, Inc. is filing a Registration Statement on Form S-4 (the “Registration Statement”) with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”). In connection therewith, I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement and any and al

Consent to be Named as a Director

Exhibit 99.1 Consent to be Named as a Director Pulmatrix, Inc. is filing a Registration Statement on Form S-4 (the “Registration Statement”) with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”). In connection therewith, I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement and any and al

Consent to be Named as a Director

Exhibit 99.3 Consent to be Named as a Director Pulmatrix, Inc. is filing a Registration Statement on Form S-4 (the “Registration Statement”) with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”). In connection therewith, I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement and any and al

Pulmatrix, Inc. 945 Concord Street, Suite 1217 Framingham, MA 01701

Pulmatrix, Inc. 945 Concord Street, Suite 1217 Framingham, MA 01701 May 7, 2025 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences Securities and Exchange Commission Washington, D.C. 20549 Attention: Tyler Howes Re: Pulmatrix, Inc. Registration Statement on Form S-4, as amended Filed on February 14, 2025, as amended on April 17, 2025, and May

Consent to be Named as a Director

Exhibit 99.5 Consent to be Named as a Director Pulmatrix, Inc. is filing a Registration Statement on Form S-4 (the “Registration Statement”) with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”). In connection therewith, I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement and any and al

Consent to be Named as a Director

Exhibit 99.8 Consent to be Named as a Director Pulmatrix, Inc. is filing a Registration Statement on Form S-4 (the “Registration Statement”) with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”). In connection therewith, I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement and any and al

Consent of Lucid Capital Markets, LLC

Exhibit 99.6 Consent of Lucid Capital Markets, LLC May 6, 2025 Board of Directors Pulmatrix, Inc. 945 Concord Street, Suite 1217 Framingham, MA 01701 Re: Registration Statement on Form S-4 of Pulmatrix, Inc. Members of the Board: We hereby consent to the inclusion of our opinion letter, dated November 11, 2024, to the Board of Directors of Pulmatrix, Inc. (“Pulmatrix”) as Annex B to, and to the re

As filed with the Securities and Exchange Commission on May 6, 2025

TABLE OF CONTENTS As filed with the Securities and Exchange Commission on May 6, 2025 Registration No.

April 17,

April 17, 2025 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F. Street, N.E. Washington, D.C. 20549 Attn: Christine Torney Daniel Gordon Tyler Howes Joe McCann Re: Pulmatrix, Inc. Registration Statement on Form S-4 Filed on February 14, 2025 File No. 333-284993 Ladies and Gentlemen: This letter is submitted on behalf of Pulmatrix, Inc. (the “Company”) in res

Consent to be Named as a Director

Exhibit 99.7 Consent to be Named as a Director Pulmatrix, Inc. is filing a Registration Statement on Form S-4 (the “Registration Statement”) with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”). In connection therewith, I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement and any and al

As filed with the Securities and Exchange Commission on April 17, 2025

TABLE OF CONTENTS As filed with the Securities and Exchange Commission on April 17, 2025 Registration No.

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 7, 2025 PULMATRIX, INC. (Ex

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 7, 2025 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Numb

Amendment No. 1 to the Agreement and Plan of Merger and Reorganization, dated as of April 7, 2025, by and among Pulmatrix, Inc., PCL Merger Sub, Inc., PCL Merger Sub II, LLC and Cullgen Inc. (incorporated by reference to Exhibit 2.1 to the Company’s Current Report on Form 8-K filed with the SEC on April 10, 2025).

Exhibit 2.1 Amendment No. 1 to the Agreement and Plan of Merger AND REORGANIZATION This Amendment No. 1 to Agreement and Plan of Merger and reorganization (this “Amendment”) is made as of April 7, 2025 (the “Effective Date”), with respect to that certain Agreement and Plan of Merger and Reorganization (the “Merger Agreement”), dated as of November 13, 2024, by and among Pulmatrix, Inc., a Delaware

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, 2025 PULMATRIX, INC. (Ex

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, 2025 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Numb

Letter from Marcum LLP to the Securities and Exchange Commission dated April 8, 2025 (incorporated by reference to Exhibit 16.1 to the Company’s Current Report on Form 8-K filed with the SEC on April 8, 2025).

Exhibit 16.1 April 8, 2025 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by Pulmatrix, Inc. under Item 4.01 of its Form 8-K dated April 8, 2025. We agree with the statements concerning our Firm in such Form 8-K; we are not in a position to agree or disagree with other statements of Pulmatrix, Inc. contained therein. Very

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36199 PULMATRIX, INC

Insider Trading Policy of Pulmatrix, Inc.

EXHIBIT 19.1 Pulmatrix, Inc. Insider Trading Policy Table of Contents 1 Purpose 2 2 The Need for an Insider Trading Policy 2 3 What is Material Non-Public Information 2 4 The Consequences of Insider Trading 4 5 Our Policy 4 6 Individual Responsibility 8 7 Additional Prohibited Transactions 9 8 Post-Termination Transactions 10 9 Company Assistance 10 10 Certifications 10 11 Appendix 10 1 1 Purpose

Pulmatrix Announces Year-End and Fourth Quarter 2024 Financial Results and Divestment Plan for Assets Announced merger agreement with Cullgen in November, anticipated to close in the first half of 2025 As part of proposed merger, Pulmatrix intends to

Exhibit 99.1 Pulmatrix Announces Year-End and Fourth Quarter 2024 Financial Results and Divestment Plan for Assets Announced merger agreement with Cullgen in November, anticipated to close in the first half of 2025 As part of proposed merger, Pulmatrix intends to divest its assets including its Phase 2-ready acute migraine candidate, PUR3100, and other development candidates based on its iSPERSE™

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): March 21, 2025 PULMATRIX, INC. (E

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): March 21, 2025 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Num

List of Subsidiaries

Exhibit 21.1 Pulmatrix, Inc. List of Subsidiaries The following is a list of each subsidiary of Pulmatrix, Inc., a Delaware corporation (the “Company”), as of March 17, 2025, and the state in which each such subsidiary is organized. Subsidiaries (all 100% owned by the Company) Name of Subsidiary* State or Other Jurisdiction of Incorporation Pulmatrix Operating Company, Inc. PCL Merger Sub, Inc. PL

Consent to be Named as a Director

Exhibit 99.1 Consent to be Named as a Director Pulmatrix, Inc. is filing a Registration Statement on Form S-4 (the “Registration Statement”) with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”). In connection therewith, I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement and any and al

CULLGEN INC. 2018 STOCK INCENTIVE PLAN Adopted by the Board on April 25, 2018 Approved by the Stockholders on April 25, 2018

Exhibit 10.4 CULLGEN INC. 2018 STOCK INCENTIVE PLAN Adopted by the Board on April 25, 2018 Approved by the Stockholders on April 25, 2018 TABLE OF CONTENTS Page SECTION 1. PURPOSE 1 SECTION 2. DEFINITIONS 1 2.1 “Affiliate” 1 2.2 “Award” 1 2.3 “Award Agreement” 1 2.4 “Board” 1 2.5 “Cause” 1 2.6 “Change in Control” 2 2.7 “Code” 3 2.8 “Committee” 3 2.9 “Company” 3 2.10 “Consultant” 3 2.11 “Disability

Consent to be Named as a Director

Exhibit 99.4 Consent to be Named as a Director Pulmatrix, Inc. is filing a Registration Statement on Form S-4 (the “Registration Statement”) with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”). In connection therewith, I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement and any and al

EMPLOYMENT AGREEMENT

Exhibit 10.7 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (the “Agreement”) is entered into effective as of April 1, 2022 (the “Effective Date”) by and between Cullgen Inc., a Delaware corporation (the “Company”), and Dr. Ying Luo, Ph.D. (“Executive”). WHEREAS, the Company wishes to employ Executive as Chief Executive Officer and President of the Company, and Executive wishes to provides service

Consent to be Named as a Director

Exhibit 99.3 Consent to be Named as a Director Pulmatrix, Inc. is filing a Registration Statement on Form S-4 (the “Registration Statement”) with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”). In connection therewith, I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement and any and al

Consent of Lucid Capital Markets, LLC

Exhibit 99.7 Consent of Lucid Capital Markets, LLC February 14, 2025 Board of Directors Pulmatrix, Inc. 945 Concord Street, Suite 1217 Framingham, MA 01701 Re: Registration Statement on Form S-4 of Pulmatrix, Inc. Members of the Board: We hereby consent to the inclusion of our opinion letter, dated November 11, 2024, to the Board of Directors of Pulmatrix, Inc. (“Pulmatrix”) as Annex B to, and to

Consent to be Named as a Director

Exhibit 99.2 Consent to be Named as a Director Pulmatrix, Inc. is filing a Registration Statement on Form S-4 (the “Registration Statement”) with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”). In connection therewith, I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement and any and al

As filed with the Securities and Exchange Commission on February 14, 2025

TABLE OF CONTENTS As filed with the Securities and Exchange Commission on February 14, 2025 Registration No.

FOURTH AMENDED AND RESTATED CERTIFICATE OF INCORPORATION CULLGEN INC.

Exhibit 3.3 FOURTH AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF CULLGEN INC. Cullgen Inc., a corporation organized and existing under the General Corporation Law of the State of Delaware, hereby certifies as follows: A. The name of the corporation is Cullgen Inc. (the “Company”). The original Certificate of Incorporation of the Company was filed with the Secretary of State of Delaware on J

Consent to be Named as a Director

Exhibit 99.5 Consent to be Named as a Director Pulmatrix, Inc. is filing a Registration Statement on Form S-4 (the “Registration Statement”) with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”). In connection therewith, I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement and any and al

Calculation of Filing Fee Tables Form S-4 (Form Type) PULMATRIX, INC. (Exact Name of Registrant as Specified in its Charter) Table 1 - Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward R

Exhibit 107 Calculation of Filing Fee Tables Form S-4 (Form Type) PULMATRIX, INC. (Exact Name of Registrant as Specified in its Charter) Table 1 - Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry

Amendment No. 2 to the Restated Bylaws of Pulmatrix, Inc., dated as of February 11, 2025

Exhibit 3.1 Amendment No. 2 to Restated Bylaws of Pulmatrix, Inc. Pursuant to Article SEVENTH of the Amended and Restated Certificate of Incorporation, as amended, of Pulmatrix, Inc., a Delaware corporation (the “Corporation”), Article X of the Restated Bylaws (as amended heretofore, the “Bylaws”) of the Corporation, and Section 109 of the General Corporation Law of the State of Delaware, on the d

BYLAWS CULLGEN INC.

Exhibit 3.4 BYLAWS OF CULLGEN INC. TABLE OF CONTENTS Page ARTICLE I CORPORATE OFFICES 1 1.1 Principal Office 1 1.2 Other Offices 1 ARTICLE II MEETINGS OF STOCKHOLDERS 1 2.1 Place of Meetings 1 2.2 Annual Meeting 1 2.3 Special Meeting 1 2.4 Notice of Stockholders’ Meetings 2 2.5 Manner of Giving Notice; Affidavit of Notice 2 2.6 Quorum 2 2.7 Adjourned Meeting; Notice 2 2.8 Organization; Conduct of

Consent to be Named as a Director

Exhibit 99.6 Consent to be Named as a Director Pulmatrix, Inc. is filing a Registration Statement on Form S-4 (the “Registration Statement”) with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”). In connection therewith, I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement and any and al

[***] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED BECAUSE THE INFORMATION (I) IS NOT MATERIAL AND (II) IS THE TYPE OF INFORMATION THAT THE REGISTRANT BOTH CUSTOMARILY AND ACTUALLY TREATS AS PRIV

Exhibit 10.8 [***] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED BECAUSE THE INFORMATION (I) IS NOT MATERIAL AND (II) IS THE TYPE OF INFORMATION THAT THE REGISTRANT BOTH CUSTOMARILY AND ACTUALLY TREATS AS PRIVATE AND CONFIDENTIAL. EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”), dated as of this 1st day of August, 2020 (the “E

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits

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): February 11, 2025 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File

Pain marks the second therapeutic area for Cullgen’s lead protein degrader CG001419

Filed by Pulmatrix, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Cullgen Inc. Commission File No. 001-36199 Cullgen Begins Phase 1 Dosing of its Potential First-in-Class, Oral Pan-TRK Protein Degrader for Acute and Chronic Pain Pain marks the second therapeutic area for Cullgen’s lead pro

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): December 18, 2024 PULMATRIX, INC.

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): December 18, 2024 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File

Pulmatrix and Cullgen Announce Proposed Merger Merger to create a Nasdaq-listed company focusing on targeted protein degradation technology with three degrader programs in or about to initiate Phase 1 clinical trials – two for the treatment of cancer

Exhibit 99.1 Pulmatrix and Cullgen Announce Proposed Merger Merger to create a Nasdaq-listed company focusing on targeted protein degradation technology with three degrader programs in or about to initiate Phase 1 clinical trials – two for the treatment of cancer and one for the treatment of acute and chronic pain Combined company expected to have approximately $65 million of cash and cash equival

Investor Presentation, dated November 2024

Exhibit 99.2

PULMATRIX-CULGEN MERGER CONFERENCE CALL 13 NOVEMBER 2024 [To be released at 12 PM Eastern time]

Exhibit 99.3 PULMATRIX-CULGEN MERGER CONFERENCE CALL 13 NOVEMBER 2024 [To be released at 12 PM Eastern time] Operator Thank you for joining the conference call to discuss the proposed merger between Pulmatrix and Cullgen. Today’s webcast will be made available for replay and accessible on the companies’ respective websites. I would now like to turn the call over to Tim McCarthy of LifeSci Advisors

Form of Registration Rights Agreement

Exhibit 10.3 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of [●], among Cullgen Inc., a Delaware corporation (the “Company”), Pulmatrix, Inc. (“Parent”), a Delaware corporation, and each of the several holders of shares of Company Capital Stock signatory hereto (each such holder, a “Company Holder” and, collectively, the “Company H

Agreement and Plan of Merger and Reorganization, dated as of November 13, 2024, by and among Pulmatrix, Inc., PCL Merger Sub, Inc., PCL Merger Sub II, LLC and Cullgen Inc.

Exhibit 2.1 AGREEMENT AND PLAN OF MERGER AND REORGANIZATION among: PULMATRIX, Inc.; PCL Merger Sub, Inc.; PCL Merger Sub II, LLC; and cULLGEN Inc. Dated as of November 13, 2024 Table of Contents Section 1. Definitions and Interpretative Provisions 2 1.1 Definitions 2 1.2 Other Definitional and Interpretative Provisions 17 Section 2. Description of Transaction 18 2.1 The Merger 18 2.2 Effects of th

Form of Cullgen Support Agreement

Exhibit 10.1 FORM OF COMPANY STOCKHOLDER SUPPORT AGREEMENT This Support Agreement (this “Agreement”) is made and entered into as of [•], 2024, by and among Cullgen Inc., a Delaware corporation (the “Company”), Pulmatrix, Inc., a Delaware corporation (“Parent”), and the undersigned holder (the “Stockholder”) of Shares (as defined below) of the Company. Capitalized terms used herein but not otherwis

Form of Lock-Up Agreement

Exhibit 10.2 FORM OF LOCK-UP AGREEMENT [●], 2024 Cullgen Inc. [Address Line 1] [Address Line 2] Ladies and Gentlemen: The undersigned signatory of this lock-up agreement (this “Lock-Up Agreement’’) understands that Pulmatrix, Inc., a Delaware corporation (“Parent”), is entering into an Agreement and Plan of Merger, dated as of November [●], 2024 (as the same may be amended from time to time, the “

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): November 13, 2024 PULMATRIX, INC.

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): November 13, 2024 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File

Pulmatrix Announces Third Quarter 2024 Financial Results and Provides Corporate Update Closed transactions with MannKind Corporation validating the potential value of iSPERSE™ technology Pursuing strategic alternatives to further leverage iSPERSE™ an

Exhibit 99.1 Pulmatrix Announces Third Quarter 2024 Financial Results and Provides Corporate Update Closed transactions with MannKind Corporation validating the potential value of iSPERSE™ technology Pursuing strategic alternatives to further leverage iSPERSE™ and optimize the potential of PUR3100 Completed PUR1900 wind down activities Cash runway projected into Q4 2026 Framingham, Mass., November

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36199 PULMA

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): November 8, 2024 PULMATRIX, INC.

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): November 8, 2024 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File N

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive

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): October 3, 2024 PULMATRIX, INC. (

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): October 3, 2024 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Nu

Bill of Sale and Assignment Agreement, dated as of May 28, 2024, by and between Pulmatrix, Inc. and MannKind Corporation

Exhibit 10.4 BILL OF SALE AND ASSIGNMENT AGREEMENT THIS BILL OF SALE AND ASSIGNMENT AGREEMENT (this “Agreement”), dated May 28, 2024 is entered into by and among Pulmatrix, Inc., a Delaware corporation (the “Seller”), and MannKind Corporation, a Delaware corporation (“Purchaser”). Seller and Purchaser are sometimes referred to collectively herein as the “Parties” and each individually a “Party.” R

Pulmatrix Announces Second Quarter 2024 Financial Results and Provides Corporate Update Completed series of transactions with MannKind Corporation validating iSPERSE™ technology and extending projected cash runway into Q4 2026 $12.4 million in cash a

Exhibit 99.1 Pulmatrix Announces Second Quarter 2024 Financial Results and Provides Corporate Update Completed series of transactions with MannKind Corporation validating iSPERSE™ technology and extending projected cash runway into Q4 2026 $12.4 million in cash and cash equivalents at the end of Q2 2024, with an additional $1.4 million in restricted cash becoming unrestricted in August 2024 Pursui

Master Services Agreement, dated as of May 28, 2024, by and between Pulmatrix, Inc. and MannKind Corporation

Exhibit 10.6 MASTER SERVICES AGREEMENT This Master Services Agreement (the “Agreement”), dated as of July 8, 2024 (the “Effective Date”), is made and entered into by and between MannKind Corporation having its offices at 1 Casper St, Danbury, Connecticut 06810 (“MANNKIND”) and Pulmatrix, Inc., a Delaware corporation having an address at 945 Concord Street, Framingham MA 01701 (“PULMATRIX”). PULMAT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36199 PULMATRIX,

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): August 13, 2024 PULMATRIX, INC. (

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): August 13, 2024 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Nu

Intellectual Property Cross License Agreement, dated as of May 28, 2024, by and between Pulmatrix, Inc. and MannKind Corporation

Exhibit 10.5 INTELLECTUAL PROPERTY CROSS-LICENSE AGREEMENT This INTELLECTUAL PROPERTY CROSS-LICENSE AGREEMENT (this “Agreement”), dated as of July 8, 2024 is made between MANNKIND CORPORATION, a Delaware corporation company (“MannKind”) and PULMATRIX, INC., a Delaware corporation (“Pulmatrix”). MannKind and Pulmatrix are each referred to individually as a “Party” and collectively as the “Parties”.

Amendment No. 3 to Consulting Agreement, dated as of July 15, 2024, by and between Pulmatrix, Inc. and Danforth Advisors, LLC

Exhibit 10.2 AMENDMENT NO. 3 TO CONSULTING AGREEMENT This Amendment No. 3 to Consulting Agreement (this “Amendment No. 3”) is made effective as of July 20, 2024, by and between Pulmatrix, Inc., a Delaware corporation, with its principal place of business being 945 Concord Street, Suite 1217, Framingham, MA 01701 (the “Company”) and Danforth Advisors, LLC, a Massachusetts limited liability company,

General Release and Severance Agreement, dated as of July 19, 2024, by and between Pulmatrix, Inc. and Teofilo Raad

Exhibit 10.1 GENERAL RELEASE AND SEVERANCE AGREEMENT This General Release and Severance Agreement (this “Agreement”), dated as of July 19, 2024, is made and entered into by and between Teofilo Raad (“Employee”) and Pulmatrix, Inc. (the “Company”). WHEREAS, Employee’s employment with the Company shall terminate as of the Separation Date (defined below), the Company desires to provide Employee with

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): July 15, 2024 PULMATRIX, INC. (Ex

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): July 15, 2024 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Numb

Letter Agreement, dated as of July 15, 2024, by and between Pulmatrix, Inc. and Peter Ludlum

Exhibit 10.3 To: Peter Ludlum From: Pulmatrix, Inc. Date: July 15, 2024 Subject: Retention Bonus Opportunity Pulmatrix, Inc. (the “Company”) is in a period of transition. You are a valued member of our team, and we need you to help the Company meet the challenges ahead. To recognize your service to the Company, and to retain your ongoing and future services relationship with the Company, we are pl

Pulmatrix Announces Cross License Agreement and Transfer of Laboratory to MannKind Corporation Cross license involves Pulmatrix iSPERSETM technology and MannKind’s Cricket® inhalation device. Pulmatrix transferring leased building, all leasehold impr

Exhibit 99.1 Pulmatrix Announces Cross License Agreement and Transfer of Laboratory to MannKind Corporation Cross license involves Pulmatrix iSPERSETM technology and MannKind’s Cricket® inhalation device. Pulmatrix transferring leased building, all leasehold improvements, laboratory equipment and other related personal property in exchange for MannKind assumption of lease. Master service agreement

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): May 28, 2024 PULMATRIX, INC. (Exa

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): May 28, 2024 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Numbe

Pulmatrix, Inc. 36 Crosby Drive, Suite 100 Bedford, MA 01730

Pulmatrix, Inc. 36 Crosby Drive, Suite 100 Bedford, MA 01730 May 28, 2024 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences Washington, D.C. 20549 Attention: Jimmy McNamara Re: Pulmatrix, Inc. Registration Statement on Form S-3 Filed on May 17, 2024 File No. 333-279491 (the “Registration Statement”) Request for Acceleration Ladies and Gentlem

As filed with the Securities and Exchange Commission on May 17, 2024

As filed with the Securities and Exchange Commission on May 17, 2024 Registration No.

Filing Fee Table

Exhibit 107 Calculation of Filing Fee Tables Registration Statement on Form S-3 (Form Type) Pulmatrix, Inc.

Pulmatrix Announces Peer-Reviewed Publication of Clinical Results for its Orally Inhaled DHE for Acute Migraine (PUR3100) Orally Inhaled PUR3100 is associated with rapid systemic PK within the therapeutic window and a mean time to Cmax matching intra

Exhibit 99.1 Pulmatrix Announces Peer-Reviewed Publication of Clinical Results for its Orally Inhaled DHE for Acute Migraine (PUR3100) Orally Inhaled PUR3100 is associated with rapid systemic PK within the therapeutic window and a mean time to Cmax matching intravenously (IV) administered DHE. Self-administered PUR3100 showed improved safety and tolerability relative to IV DHE. Pulmatrix previousl

Regulation FD Disclosure, Financial Statements and Exhibits

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): May 15, 2024 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Numbe

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36199 PULMATRIX

Results of Operations and Financial Condition, Financial Statements and Exhibits

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): May 10, 2024 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Numbe

Pulmatrix Announces First Quarter 2024 Financial Results and Provides Corporate Update $16.3 million in cash and cash equivalents at the end of Q1 2024 providing projected cash runway into Q1 2026 Third amendment made in Q1 to Cipla partnership resul

Exhibit 99.1 Pulmatrix Announces First Quarter 2024 Financial Results and Provides Corporate Update $16.3 million in cash and cash equivalents at the end of Q1 2024 providing projected cash runway into Q1 2026 Third amendment made in Q1 to Cipla partnership results in the wind down of the PUR1900 Phase 2b study and allows for a significant reduction in expected cash burn for Pulmatrix Cipla to tak

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36199 PULMATRIX, INC

PULMATRIX, INC. Up to $2,439,968 of Common Stock

Filed Pursuant to Rule 424(b)(3) Registration No. 333-256502 PROSPECTUS SUPPLEMENT (To Prospectus Supplement Dated August 9, 2022 to Prospectus Dated June 9, 2021) PULMATRIX, INC. Up to $2,439,968 of Common Stock This prospectus supplement (the “Prospectus Supplement”) amends and supplements the information in our sales agreement prospectus, dated June 9, 2021 (the “Sales Agreement Prospectus”), a

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): March 28, 2024 PULMATRIX, INC. (E

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): March 28, 2024 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Num

Compensation Recovery Policy

Exhibit 97.01 PULMATRIX, INC. Compensation Recovery Policy This Compensation Recovery Policy (this “Policy”) of Pulmatrix, Inc. (the “Company”) is hereby adopted as of November 30, 2023 in compliance with Rule 5608 of the Nasdaq Rules. Certain terms used herein shall have the meanings set forth in “Section 3. Definitions” below. Section 1. Recovery Requirement Subject to Section 4 of this Policy,

Pulmatrix Announces Year-End and Q4 2023 Financial Results and Provides Corporate Update 2023 year-end $19.2 million cash and cash equivalents provide projected cash runway into Q1 2026 3rd amendment to Cipla partnership resulted in the wind down of

Exhibti 99.1 Pulmatrix Announces Year-End and Q4 2023 Financial Results and Provides Corporate Update 2023 year-end $19.2 million cash and cash equivalents provide projected cash runway into Q1 2026 3rd amendment to Cipla partnership resulted in the wind down of the PUR1900 Phase 2b study and a significant reduction in expected cash burn for Pulmatrix Cipla to take sole responsibility for developm

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): March 7, 2024 PULMATRIX, INC. (Ex

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): March 7, 2024 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Numb

Corporate Presentation, dated March 2024 (furnished herewith pursuant to Item 7.01).

Exhibit 99.1

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): March 4, 2024 PULMATRIX, INC. (Ex

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): March 4, 2024 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction (Commission (IRS Employer of incorporat

Investor Presentation (furnished herewith pursuant to Item 7.01)

Exhibit 99.2

Pulmatrix Announces Stopping the PUR1900 Phase 2B Study Patient Enrollment and Closing the Study, in Agreement With Partner Cipla, to Preserve Cash and Facilitate Pursuit of Strategic Alternatives Cipla to take sole responsibility for development of

Exhibit 99.1 Pulmatrix Announces Stopping the PUR1900 Phase 2B Study Patient Enrollment and Closing the Study, in Agreement With Partner Cipla, to Preserve Cash and Facilitate Pursuit of Strategic Alternatives Cipla to take sole responsibility for development of PUR1900, refocused on markets with greatest unmet need and faster path to approval, in exchange for 2% royalty on net sales payable to Pu

Third Amendment to the Development and Commercialization Agreement, dated as of January 6, 2024, by and among Pulmatrix, Inc., Pulmatrix Operating Company, Inc., and Cipla Technologies LLC.

Exhibit 10.1 THIRD AMENDMENT TO THE DEVELOPMENT AND COMMERCIALIZATION AGREEMENT This Third amendment to the Development and Commercialization Agreement (“Third Amendment”) is entered into as of 6 January, 2024 (the “Effective Date”) and to the extent applicable amends the Development and Commercialization Agreement entered into on April 15, 2019 (as amended by the parties on May 3, 2019 (the “Firs

Letter Agreement, dated January 6, 2024, by and between Teofilo Raad and the Company

Exhibit 10.2 To: Teofilo Raad From: Pulmatrix, Inc. Date: January 6, 2024 Subject: Retention Bonus Opportunity Pulmatrix, Inc. (the “Company”) is in a period of transition. You are a valued member of our team, and we need you to help the Company meet the challenges ahead. To recognize your service to the Company, and to retain your ongoing and future employment with the Company, we are pleased to

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 6, 2024 PULMATRIX, INC. (

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 6, 2024 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Nu

Results of Operations and Financial Condition, Financial Statements and Exhibits

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): November 9, 2023 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File N

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36199 PULMA

Pulmatrix Announces Third Quarter 2023 Financial Results and Provides Corporate Update Patient enrollment for the Phase 2b study of PUR1900 is ongoing with four additional sites added during Q3, totaling seventeen active sites to date in four countri

Exhibit 99.1 Pulmatrix Announces Third Quarter 2023 Financial Results and Provides Corporate Update Patient enrollment for the Phase 2b study of PUR1900 is ongoing with four additional sites added during Q3, totaling seventeen active sites to date in four countries; topline data anticipated in H2 2024 Received “study may proceed” letter on an IND for a Phase 2 study of PUR3100 for acute migraine $

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): August 10, 2023 PULMATRIX, INC. (

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): August 10, 2023 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Nu

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36199 PULMATRIX,

Pulmatrix Announces Second Quarter 2023 Financial Results and Provides Corporate Update Subject enrollment for the Phase 2b study of PUR1900 is ongoing with five additional sites added during Q2, totaling thirteen active sites to date in four countri

Exhibit 99.1 Pulmatrix Announces Second Quarter 2023 Financial Results and Provides Corporate Update Subject enrollment for the Phase 2b study of PUR1900 is ongoing with five additional sites added during Q2, totaling thirteen active sites to date in four countries, and topline data anticipated in Q3 2024 Submitted an IND for a Phase 2 study of PUR3100 for Acute Migraine $25.8 million in cash and

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): July 13, 2023 PULMATRIX, INC. (Ex

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): July 13, 2023 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Numb

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): July 11, 2023 PULMATRIX, INC. (Ex

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): July 11, 2023 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Numb

Pulmatrix Announces Submission of IND Application to FDA to Initiate a Phase 2 Trial of Investigational Drug PUR3100 to Treat Acute Migraine

Exhibit 99.1 Pulmatrix Announces Submission of IND Application to FDA to Initiate a Phase 2 Trial of Investigational Drug PUR3100 to Treat Acute Migraine LEXINGTON, Mass., July 11, 2023 – Pulmatrix, Inc. (“Pulmatrix” or the “Company”) (NASDAQ: PULM), a clinical-stage biopharmaceutical company developing innovative inhaled therapies to address serious pulmonary and central nervous system disease, t

Investor Presentation, dated July 2023 (furnished herewith pursuant to Item 7.01)

Exhibit 99.2

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive

Pulmatrix Announces First Quarter 2023 Financial Results and Provides Corporate Update Patient dosing initiated for Phase 2b study of PUR1900 for ABPA Phase 1 study of PUR3100 for migraine achieves positive topline results $30.8 million in cash and c

Exhibit 99.1 Pulmatrix Announces First Quarter 2023 Financial Results and Provides Corporate Update Patient dosing initiated for Phase 2b study of PUR1900 for ABPA Phase 1 study of PUR3100 for migraine achieves positive topline results $30.8 million in cash and cash equivalents at the end of Q1 2023 providing projected cash runway into Q4 2024 LEXINGTON, Mass., May 12, 2023 – Pulmatrix, Inc. (NASD

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36199 PULMATRIX

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): May 12, 2023 PULMATRIX, INC. (Exa

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): May 12, 2023 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Numbe

Pulmatrix Announces Year-End and Q4 Financial 2022 Results and Provides Corporate Update PUR1900 Phase 2b study dosed first patients in Q1 2023 PUR3100 Phase 1 study achieves positive topline results as announced in Q1 2023 $35.6 million in cash and

Exhibit 99.1 Pulmatrix Announces Year-End and Q4 Financial 2022 Results and Provides Corporate Update PUR1900 Phase 2b study dosed first patients in Q1 2023 PUR3100 Phase 1 study achieves positive topline results as announced in Q1 2023 $35.6 million in cash and cash equivalents at the end of 2022 providing cash runway into Q2 2024 LEXINGTON, Mass., March 30, 2023 – Pulmatrix, Inc. (NASDAQ: PULM),

Results of Operations and Financial Condition, Financial Statements and Exhibits

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): March 30, 2023 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Num

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36199 PULMATRIX, INC

US74584P3010 / PULMATRIX INC / INTRACOASTAL CAPITAL, LLC - AMENDMENT NO. 4 TO SCHEDULE 13G Passive Investment

SC 13G/A 1 ea172865-13ga4intrapulm.htm AMENDMENT NO. 4 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Pulmatrix, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 74584P301 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Fili

Pulmatrix Announces First Patient Dosed in Phase 2b Study of PUR1900 for Treatment of Allergic Bronchopulmonary Aspergillosis (ABPA) in Subjects with Asthma

Exhibit 99.1 Pulmatrix Announces First Patient Dosed in Phase 2b Study of PUR1900 for Treatment of Allergic Bronchopulmonary Aspergillosis (ABPA) in Subjects with Asthma LEXINGTON, Mass., February 6, 2023 – Pulmatrix, Inc. (NASDAQ: PULM), a clinical-stage biopharmaceutical company developing innovative inhaled therapies to address serious disease using its patented iSPERSE™ technology, today annou

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): February 6, 2023 PULMATRIX, INC.

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): February 6, 2023 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File N

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): February 3, 2023 PULMATRIX, INC.

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): February 3, 2023 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File N

Slide Presentation, dated February 3, 2023 (furnished herewith pursuant to Item 7.01)

Exhibit 99.1

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 25, 2023 PULMATRIX, INC.

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 25, 2023 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File N

Pulmatrix to Host Key Opinion Leader Webinar “PUR3100 for the Treatment of Acute Migraine: Unlocking the Potential of DHE Treatment”

Exhibit 99.1 Pulmatrix to Host Key Opinion Leader Webinar “PUR3100 for the Treatment of Acute Migraine: Unlocking the Potential of DHE Treatment” LEXINGTON, Mass., January 25, 2023 — Pulmatrix, Inc. (NASDAQ: PULM), a clinical-stage biopharmaceutical company developing innovative inhaled therapies to address serious disease using its patented iSPERSE™ technology, today announced it will host a virt

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, 2023 PULMATRIX, INC.

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, 2023 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File N

Investor Presentation, dated January 2023 (furnished herewith pursuant to Item 7.01)

Exhibit 99.1

Pulmatrix Announces Positive Top Line Results from a Phase 1 Study with PUR3100, a Novel Orally Inhaled Dihydroergotamine (DHE), for Acute Migraine PUR3100 was safe and all doses had fewer GI side effects compared to IV DHE PUR3100 demonstrated a fiv

Exhibit 99.1 Pulmatrix Announces Positive Top Line Results from a Phase 1 Study with PUR3100, a Novel Orally Inhaled Dihydroergotamine (DHE), for Acute Migraine PUR3100 was safe and all doses had fewer GI side effects compared to IV DHE PUR3100 demonstrated a five-minute Tmax and Cmax within the targeted therapeutic range for all three doses tested LEXINGTON, Mass., January 4, 2023 – Pulmatrix, In

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 4, 2023 PULMATRIX, INC. (

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 4, 2023 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Nu

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): November 10, 2022 PULMATRIX, INC.

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): November 10, 2022 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File

Corporate Presentation of Pulmatrix, Inc. (furnished herewith pursuant to Item 7.01)

Exhibit 99.2

Pulmatrix Announces Third Quarter 2022 Financial Results and Provides Corporate Update PUR1900 (Pulmazole) on track for Phase 2 study start in Q1 2023 PUR3100 Phase 1 study top line data anticipated in early Q1 2023 $40.7 million in cash and cash equ

Exhibit 99.1 Pulmatrix Announces Third Quarter 2022 Financial Results and Provides Corporate Update PUR1900 (Pulmazole) on track for Phase 2 study start in Q1 2023 PUR3100 Phase 1 study top line data anticipated in early Q1 2023 $40.7 million in cash and cash equivalents at end of Q3 2022 LEXINGTON, Mass., November 10, 2022 — Pulmatrix, Inc. (NASDAQ: PULM), a clinical-stage biopharmaceutical compa

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36199 PULMA

Pulmatrix Announces Patient Dosing Completed for its Novel Inhaled Therapy PUR3100 for Acute Migraine Company is evaluating its iSPERSETM orally inhaled dry powder formulation of dihydroergotamine (DHE) for treatment of acute migraine and expects pha

Exhibit 99.1 Pulmatrix Announces Patient Dosing Completed for its Novel Inhaled Therapy PUR3100 for Acute Migraine Company is evaluating its iSPERSETM orally inhaled dry powder formulation of dihydroergotamine (DHE) for treatment of acute migraine and expects pharmacokinetic data from the Phase 1 study in Q4 2022 LEXINGTON, Mass., September 26, 2022 ? Pulmatrix, Inc. (NASDAQ: PULM), a clinical-sta

Regulation FD Disclosure, Financial Statements and Exhibits

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): September 26, 2022 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File

Pulmatrix Announces Second Quarter 2022 Financial Results and Provides Corporate Update Pulmazole is on track for Phase 2b study start in Q1 2023 PUR3100 Phase 1 study is underway with data anticipated in Q4 2022 Ends Q2 with $42.9 million in cash an

Exhibit 99.1 Pulmatrix Announces Second Quarter 2022 Financial Results and Provides Corporate Update Pulmazole is on track for Phase 2b study start in Q1 2023 PUR3100 Phase 1 study is underway with data anticipated in Q4 2022 Ends Q2 with $42.9 million in cash and cash equivalents LEXINGTON, Mass., August 8, 2022 ? Pulmatrix, Inc. (NASDAQ: PULM), a clinical-stage biopharmaceutical company developi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36199 PULMATRIX,

Results of Operations and Financial Condition, Financial Statements and Exhibits

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): August 8, 2022 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Num

PULMATRIX, INC. Up to $5,927,402 Common Stock

Filed Pursuant to Rule 424(b)(3) Registration No. 333-256502 PROSPECTUS SUPPLEMENT (To Prospectus Dated June 9, 2021) PULMATRIX, INC. Up to $5,927,402 Common Stock This prospectus supplement amends and supplements the information in our sales agreement prospectus, dated June 9, 2021 (the ?Prospectus?), filed pursuant to our registration statement on Form S-3 (File No. 333-256502) (the ?Registratio

Regulation FD Disclosure, Financial Statements and Exhibits

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): July 12, 2022 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Numb

Pulmatrix Announces First Subject Dosed in Phase 1 Study of PUR3100 for Acute Migraine New inhaled formulation of dihydroergotamine (DHE) intended for acute migraine therapy begins clinical development with Phase 1 study

Exhibit 99.1 Pulmatrix Announces First Subject Dosed in Phase 1 Study of PUR3100 for Acute Migraine New inhaled formulation of dihydroergotamine (DHE) intended for acute migraine therapy begins clinical development with Phase 1 study LEXINGTON, Mass., July 12, 2022 ? Pulmatrix, Inc. (NASDAQ: PULM), a clinical-stage biopharmaceutical company developing innovative inhaled therapies to address seriou

Investor Presentation, dated July 2022 (furnished herewith pursuant to Item 7.01)

Exhibit 99.2

Submission of Matters to a Vote of Security Holders

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): June 15, 2022 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Numb

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36199 PULMATRIX

Regulation FD Disclosure, Results of Operations and Financial Condition, Financial Statements and Exhibits

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): May 12, 2022 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Numbe

Investor Presentation, dated May 2022

Exhibit 99.2

Pulmatrix Announces First Quarter 2022 Financial Results and Provides Corporate Update Ends Q1 with $47.5 million in cash and cash equivalents; Extends cash runway into Q2 2024

Exhibit 99.1 Pulmatrix Announces First Quarter 2022 Financial Results and Provides Corporate Update Ends Q1 with $47.5 million in cash and cash equivalents; Extends cash runway into Q2 2024 LEXINGTON, Mass., May 12, 2022 ? Pulmatrix, Inc. (NASDAQ: PULM), a clinical-stage biopharmaceutical company developing innovative inhaled therapies to address serious pulmonary and non-pulmonary disease using i

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive

Amendment to the Restated Bylaws of Pulmatrix, Inc. 2019 (incorporated by reference to Exhibit 3.1 to the Current Report on Form 8-K filed with the Securities and Exchange Commission on April 29, 2022).

Exhibit 3.1 Amendment to Restated Bylaws of Pulmatrix, Inc. Pursuant to Article SEVENTH of the Amended and Restated Certificate of Incorporation, as amended, of Pulmatrix, Inc., a Delaware corporation (the ?Corporation?), Article X of the Restated Bylaws (as amended heretofore, the ?Bylaws?) of the Corporation, and Section 109 of the General Corporation Law of the State of Delaware, on the date he

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits

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 28, 2022 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Num

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive

Consulting Agreement, dated November 30, 2021, by and between Pulmatrix, Inc. and Danforth Advisors, LLC

Exhibit 10.1 CONSULTING AGREEMENT This Consulting Agreement (the ?Agreement?) is made effective as of November 30, 2021 (the ?Effective Date?), by and between PULMATRIX, Inc., a Delaware corporation, with its principal place of business being 99 Hayden Avenue, Suite 390, Lexington, MA 02421 (the ?Company?) and Danforth Advisors, LLC, a Massachusetts limited liability company, with its principal pl

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

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 14, 2022 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Num

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36199 PULMATRIX, INC

Description of Securities

Exhibit 4.21 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following description is intended as a summary and is qualified in its entirety by reference to our Amended and Restated Certificate of Incorporation, as amended (the ?Certificate of Incorporation?) and our Restated Bylaws, as amended (the ?By-laws?) as currently in

Filing Fee Table

EX-FILING FEES 4 ex107.htm Exhibit 107 Calculation of Filing Fee Table Form S-8 Pulmatrix, Inc. Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee (2) Equity Common Stock, par value $0.0001 per share Rule 457(h) 5,165 (3) $ 16.44 (4) $ 84,912.60 $ 0.0000927 $ 7.87

As filed with the Securities and Exchange Commission on March 29, 2022

As filed with the Securities and Exchange Commission on March 29, 2022 Registration No.

Pulmatrix Announces Year-End and Q4 Financial 2021 Results and Provides Corporate Update

Exhibit 99.1 Pulmatrix Announces Year-End and Q4 Financial 2021 Results and Provides Corporate Update LEXINGTON, Mass., March 29, 2022 ? Pulmatrix, Inc. (NASDAQ: PULM), a clinical-stage biopharmaceutical company developing innovative inhaled therapies to address serious pulmonary and non-pulmonary disease using its patented iSPERSE? technology, today announced fourth quarter and year-end financial

Certificate of Amendment to Amended and Restated Certificate of Incorporation of Pulmatrix, Inc., dated as of February 28, 2022

Exhibit 3.7 CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF PULMATRIX, INC. Pulmatrix, Inc. (the ?Corporation?), a corporation duly organized and existing under the laws of the State of Delaware, by its duly authorized officer, does hereby certify that: 1. The Board of Directors of the Corporation has duly adopted resolutions (i) authorizing the Corporation to exec

Corporate Presentation of Pulmatrix, Inc. (furnished herewith pursuant to Item 7.01)

Exhibit 99.2

Regulation FD Disclosure, Results of Operations and Financial Condition, Financial Statements and Exhibits

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): March 29, 2022 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Num

Pulmatrix Announces Positive Top-Line Data Evaluating PUR1800 in Patients with Stable COPD

Exhibit 99.1 Pulmatrix Announces Positive Top-Line Data Evaluating PUR1800 in Patients with Stable COPD LEXINGTON, Mass., March 21, 2022 ? Pulmatrix, Inc. (NASDAQ: PULM), a clinical-stage biopharmaceutical company developing innovative inhaled therapies to address serious pulmonary and non-pulmonary disease using its patented iSPERSE? technology, today announced positive top-line results of its re

Regulation FD Disclosure, Financial Statements and Exhibits

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): March 21, 2022 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Num

Pulmatrix Regains Compliance With Nasdaq Listing Requirements

Exhibit 99.1 Pulmatrix Regains Compliance With Nasdaq Listing Requirements LEXINGTON, Mass., March 17, 2022 - Pulmatrix, Inc. (NASDAQ: PULM), a clinical-stage biopharmaceutical company developing innovative inhaled therapies to address serious pulmonary and non-pulmonary disease using its patented iSPERSE? technology, today announced that it received written notice from the Nasdaq Listing Qualific

Other Events, Financial Statements and Exhibits

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): March 17, 2022 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Num

Other Events, Financial Statements and Exhibits

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): March 1, 2022 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Numb

Pulmatrix Announces Expansion of Executive Leadership Team to Progress Clinical Pipeline

Exhibit 99.1 Pulmatrix Announces Expansion of Executive Leadership Team to Progress Clinical Pipeline LEXINGTON, Mass., March 1, 2022 /PRNewswire/ ? Pulmatrix, Inc. (NASDAQ: PULM), a clinical-stage biopharmaceutical company developing innovative inhaled therapies to address serious pulmonary and non-pulmonary disease using its patented iSPERSE? technology, announced the hiring of Dr. Margaret Wasi

Regulation FD Disclosure, Financial Statements and Exhibits

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): February 24, 2022 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File

Pulmatrix, Inc. Announces 1-for-20 Reverse Stock Split

Exhibit 99.1 Pulmatrix, Inc. Announces 1-for-20 Reverse Stock Split LEXINGTON, Mass., February 24, 2022 ? Pulmatrix, Inc. (?Pulmatrix? or the ?Company?) (NASDAQ: PULM) a clinical stage biopharmaceutical company developing innovative inhaled therapies to address serious pulmonary and non-pulmonary disease using its patented iSPERSE? technology, today announced a 1-for-20 reverse split of its common

Other Events

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): February 15, 2022 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File

PULM / Pulmatrix Inc / CVI Investments, Inc. - SC 13G/A Passive Investment

CUSIP No: 74584P202 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO ? 240.13d-2. (Amendment No. 1)* Pulmatrix, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 74584P202 (CUSIP Number) Dec

PULM / Pulmatrix Inc / INTRACOASTAL CAPITAL, LLC - AMENDMENT NO. 3 TO SCHEDULE 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Pulmatrix, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 74584P202 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule p

Submission of Matters to a Vote of Security Holders

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): February 10, 2022 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

DEFA14A 1 formdefa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

DEFA14A 1 formdefa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

PRE 14A 1 formpre14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule

Certificate of Correction to the Certificate of Designation, filed December 16, 2021.

Exhibit 3.2 CERTIFICATE OF correction TO THE CERTIFICATE OF DESIGNATION OF SERIES A CONVERTIBLE PREFERRED STOCK OF PULMATRIX, Inc. Pursuant to Section 103 of the General Corporation Law of the State of Delaware The corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware does herby certify: FIRST. The name of the corporation is Pulmatrix, Inc.

Press release, dated December 17, 2021.

Exhibit 99.1 Pulmatrix Announces Closing of $6.75 Million Registered Direct Offering LEXINGTON, Mass., December 17, 2021 /PRNewswire/ ? Pulmatrix, Inc. (Nasdaq: PULM) (?Pulmatrix? or the ?Company?), a clinical stage biopharmaceutical company developing innovative inhaled therapies to address serious pulmonary and non-pulmonary disease using its patented iSPERSE? technology, today announced that it

6,745.0008 Shares of Preferred Stock 5,620,834 Warrants to purchase an aggregate of 5,620,834 Shares of Common Stock 730,708 Placement Agent Warrants to purchase an aggregate of 730,708 Shares of Common Stock (and 17,593,210 Shares of Common Stock is

424B5 1 form424b-5.htm Filed Pursuant to Rule 424(b)(5) Registration No. 333-256502 PROSPECTUS SUPPLEMENT (To the Prospectus Dated May 26, 2021) 6,745.0008 Shares of Preferred Stock 5,620,834 Warrants to purchase an aggregate of 5,620,834 Shares of Common Stock 730,708 Placement Agent Warrants to purchase an aggregate of 730,708 Shares of Common Stock (and 17,593,210 Shares of Common Stock issuabl

Other Events, Financial Statements and Exhibits

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): December 17, 2021 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 15, 20

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 15, 2021 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation)

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 15, 2021 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporatio

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): December 17, 2021 PULMATRIX, INC.

DEFA14A 1 form8-k.htm 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): December 17, 2021 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporat

Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock, filed December 15, 2021.

Exhibit 3.1 pulmatrix, inc. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES A CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE Delaware GENERAL CORPORATION LAW The undersigned, Teofilo Raad, does hereby certify that: 1. He is the Chief Executive Officer, President and Assistant Secretary of Pulmatrix, Inc., a Delaware corporation (the ?Corporation?). 2. The Co

Pulmatrix Announces Closing of $6.75 Million Registered Direct Offering

Exhibit 99.1 Pulmatrix Announces Closing of $6.75 Million Registered Direct Offering LEXINGTON, Mass., December 17, 2021 /PRNewswire/ ? Pulmatrix, Inc. (Nasdaq: PULM) (?Pulmatrix? or the ?Company?), a clinical stage biopharmaceutical company developing innovative inhaled therapies to address serious pulmonary and non-pulmonary disease using its patented iSPERSE? technology, today announced that it

Certificate of Correction to the Certificate of Designation, filed December 16, 2021

Exhibit 3.2 CERTIFICATE OF correction TO THE CERTIFICATE OF DESIGNATION OF SERIES A CONVERTIBLE PREFERRED STOCK OF PULMATRIX, Inc. Pursuant to Section 103 of the General Corporation Law of the State of Delaware The corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware does herby certify: FIRST. The name of the corporation is Pulmatrix, Inc.

Engagement Letter, dated December 3, 2021, by and between Pulmatrix, Inc. and H.C. Wainwright & Co, LLC.

Exhibit 10.2

Form of Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock (incorporated by reference to Exhibit 3.1 to the Current Report on Form 8-K/A filed with the Securities and Exchange Commission on December 17, 2021).

Exhibit 3.1 pulmatrix, inc. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES A CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE Delaware GENERAL CORPORATION LAW The undersigned, Teofilo Raad, does hereby certify that: 1. He is the Chief Executive Officer, President and Assistant Secretary of Pulmatrix, Inc., a Delaware corporation (the ?Corporation?). 2. The Co

Engagement Letter, dated December 3, 2021, by and between Pulmatrix, Inc. and H.C. Wainwright & Co, LLC.

Exhibit 10.2

Form of Securities Purchase Agreement dated December 15, 2021, by and between Pulmatrix, Inc. and the purchaser parties thereto

Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of December 15, 2021, between Pulmatrix, Inc., a Delaware corporation (the ?Company?), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a ?Purchaser? and collectively, the ?Purchasers?). WHEREAS, subject to the terms and conditions set

Pulmatrix Announces $6.75 Million Registered Direct Offering

Exhibit 99.1 Pulmatrix Announces $6.75 Million Registered Direct Offering LEXINGTON, Mass., December 15, 2021 (GLOBE NEWSWIRE) ? Pulmatrix, Inc. (Nasdaq: PULM) (?Pulmatrix? or the ?Company?), a clinical stage biopharmaceutical company developing innovative inhaled therapies to address serious pulmonary and non-pulmonary disease using its patented iSPERSE? technology, today announced that it has en

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Material Modification to Rights of Security Holders, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Other Events, Financial Statements and Exhibits

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): December 15, 2021 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File

Press release, dated December 15, 2021.

Exhibit 99.1 Pulmatrix Announces $6.75 Million Registered Direct Offering LEXINGTON, Mass., December 15, 2021 (GLOBE NEWSWIRE) ? Pulmatrix, Inc. (Nasdaq: PULM) (?Pulmatrix? or the ?Company?), a clinical stage biopharmaceutical company developing innovative inhaled therapies to address serious pulmonary and non-pulmonary disease using its patented iSPERSE? technology, today announced that it has en

Form of Placement Agent Warrant dated December 17, 2021

Exhibit 4.2 PLACEMENT AGENT COMMON STOCK PURCHASE WARRANT pulmatrix, inc. Warrant Shares: Initial Exercise Date: June 17, 2022 Issue Date: December 17, 2021 THIS PLACEMENT AGENT COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set fort

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): December 15, 2021 PULMATRIX, INC.

DEFA14A 1 formdefa14a.htm 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): December 15, 2021 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorp

Form of Securities Purchase Agreement, dated December 15, 2021, by and between Pulmatrix, Inc. and the purchaser parties thereto.

Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of December 15, 2021, between Pulmatrix, Inc., a Delaware corporation (the ?Company?), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a ?Purchaser? and collectively, the ?Purchasers?). WHEREAS, subject to the terms and conditions set

Form of Placement Agent Warrant.

Exhibit 4.2 PLACEMENT AGENT COMMON STOCK PURCHASE WARRANT pulmatrix, inc. Warrant Shares: Initial Exercise Date: June 17, 2022 Issue Date: December 17, 2021 THIS PLACEMENT AGENT COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set fort

Form of Common Stock Purchase Warrant, dated December 17, 2021

Exhibit 4.1 COMMON STOCK PURCHASE WARRANT pulmatrix, inc. Warrant Shares: Initial Exercise Date: June 17, 2022 Issue Date: December 17, 2021 THIS COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after June

Form of Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock.

Exhibit 3.1 pulmatrix, inc. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES A CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE Delaware GENERAL CORPORATION LAW The undersigned, Teofilo Raad, does hereby certify that: 1. He is the Chief Executive Officer, President and Assistant Secretary of Pulmatrix, Inc., a Delaware corporation (the ?Corporation?). 2. The Co

Form of Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock.

Exhibit 3.1 pulmatrix, inc. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES A CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE Delaware GENERAL CORPORATION LAW The undersigned, Teofilo Raad, does hereby certify that: 1. He is the Chief Executive Officer, President and Assistant Secretary of Pulmatrix, Inc., a Delaware corporation (the ?Corporation?). 2. The Co

Form of Common Stock Purchase Warrant.

Exhibit 4.1 COMMON STOCK PURCHASE WARRANT pulmatrix, inc. Warrant Shares: Initial Exercise Date: June 17, 2022 Issue Date: December 17, 2021 THIS COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after June

Corporate Presentation, dated December 2021 (furnished herewith pursuant to Item 7.01).

Exhibit 99.1

Regulation FD Disclosure, Financial Statements and Exhibits

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): December 7, 2021 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction (Commission (IRS Employer of incorpo

Pulmatrix Reports Third Quarter 2021 Financial Results and Provides Business Update Pulmazole contract dispute with Cipla resolved, expect to initiate Ph2b study in Q1 2023 for treatment of Allergic Bronchopulmonary Aspergillosis (ABPA) PUR3100 (Acut

Exhibit 99.1 Pulmatrix Reports Third Quarter 2021 Financial Results and Provides Business Update Pulmazole contract dispute with Cipla resolved, expect to initiate Ph2b study in Q1 2023 for treatment of Allergic Bronchopulmonary Aspergillosis (ABPA) PUR3100 (Acute Migraine Product) IND submission planned for Q1 2022 with Ph1 study start anticipated in Q2 2022 PUR1800 (Acute Exacerbation in COPD Pr

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36199 PULMA

Results of Operations and Financial Condition

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): November 10, 2021 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File

Entry into a Material Definitive Agreement, Other Events, Financial Statements and Exhibits

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): November 8, 2021 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File N

Pulmatrix Announces Resolution of Contract Dispute with Cipla

Exhibit 99.1 Pulmatrix Announces Resolution of Contract Dispute with Cipla LEXINGTON, Mass., November 9, 2021 ? Pulmatrix, Inc. (NASDAQ: PULM), a clinical stage biopharmaceutical company developing innovative inhaled therapies to address serious pulmonary and non-pulmonary disease using its patented iSPERSE? technology, today announced that it has completed an amendment to Pulmatrix?s agreement wi

Second Amendment to Development and Commercialization Agreement, dated as of November 8, 2021, by and between Cipla Technologies, LLC and Pulmatrix, Inc.

Exhibit 10.1 PLEASE NOTE: CERTAIN INFORMATION INDICATED WITH [***] IN THIS DOCUMENT HAS BEEN OMITTED FROM THIS EXHIBIT BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCLOSED. SECOND AMENDMENT TO THE DEVELOPMENT AND COMMERCIALIZATION AGREEMENT This Second amendment to the Development and Commercialization Agreement (?Second Amendment?) is entered into as o

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): August 17, 2021 PULMATRIX, INC. (

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): August 17, 2021 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Nu

Results of Operations and Financial Condition, Financial Statements and Exhibits

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): August 10, 2021 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Nu

Pulmatrix Reports Second Quarter 2021 Financial Results and Provides Business Update PUR1800 Phase 1b study is fully enrolled with data anticipated in Q1 2022 PUR1800 6-month rat and 9-month dog toxicology data may enable expansion to chronic conditi

Exhibit 99.1 Pulmatrix Reports Second Quarter 2021 Financial Results and Provides Business Update PUR1800 Phase 1b study is fully enrolled with data anticipated in Q1 2022 PUR1800 6-month rat and 9-month dog toxicology data may enable expansion to chronic conditions PUR3100 Phase 1/ Phase 2 clinical study in acute migraine treatment on-track for start in Q1 2022 Projected cash runway extends beyon

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36199 PULMATRIX,

LEXINGTON, Mass., July 27, 2021 /PRNewswire/ —

Exhibit 99.1 LEXINGTON, Mass., July 27, 2021 /PRNewswire/ ? Pulmatrix, Inc. (NASDAQ: PULM), a clinical-stage biopharmaceutical company developing innovative inhaled therapies to address serious pulmonary and non-pulmonary disease using its patented iSPERSE? technology, today announced the appointment of Anand Varadan to its Board of Directors, effective July 26, 2021. Mr. Varadan brings expertise

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): July 23, 2021 PULMATRIX, INC. (Ex

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): July 23, 2021 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Numb

Submission of Matters to a Vote of Security Holders

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): June 17, 2021 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Numb

2021 Shareholder Meeting Presentation, dated June 17, 2021 (furnished herewith pursuant to Item 7.01)

Exhibit 99.1

Regulation FD Disclosure, Financial Statements and Exhibits

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): June 16, 2021 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction (Commission (IRS Employer of incorporat

Pulmatrix, Inc. 99 Hayden Avenue, Suite 390 Lexington, MA 02421

CORRESP 1 filename1.htm Pulmatrix, Inc. 99 Hayden Avenue, Suite 390 Lexington, MA 02421 June 7, 2021 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Securities and Exchange Commission Washington, D.C. 20549 Attention: Tom Kluck Re: Pulmatrix, Inc. Registration Statement on Form S-3 Filed on May 26, 2021 File No. 333-256502 (the “Registration Statement”) Request fo

As filed with the Securities and Exchange Commission on May 26, 2021

As filed with the Securities and Exchange Commission on May 26, 2021 Registration No.

At the Market Offering Agreement, dated May 26, 2021, by and between Pulmatrix, Inc. and H.C. Wainwright & Co., LLC

Exhibit 1.2 AT THE MARKET OFFERING AGREEMENT May 26, 2021 H.C. Wainwright & Co., LLC 430 Park Avenue New York, NY 10022 Ladies and Gentlemen: Pulmatrix, Inc., a Delaware corporation (the ?Company?), confirms its agreement (this ?Agreement?) with H.C. Wainwright & Co., LLC (the ?Manager?) as follows: 1. Definitions. The terms that follow, when used in this Agreement and any Terms Agreement, shall h

Exhibit 4.19

Exhibit 4.19 DESCRIPTION OF SECURITIES The following description is intended as a summary and is qualified in its entirety by reference to our Amended and Restated Certificate of Incorporation, as amended (the ?Certificate of Incorporation?) and our Restated Bylaws, as amended (the ?By-laws?) as currently in effect, copies of which are filed as exhibits to this Amendment No. 2 to the Annual Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 2

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 2 (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 00

Regulation FD Disclosure, Financial Statements and Exhibits

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): May 12, 2021 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction (Commission (IRS Employer of incorporati

Investor Presentation, dated May 2021 (furnished herewith pursuant to Item 7.01)

Exhibit 99.1

Results of Operations and Financial Condition, Financial Statements and Exhibits

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): May 11, 2021 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Numbe

Quarterly Report -

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36199 PULMA

Pulmatrix Reports First Quarter 2021 Financial Results and Provides Business Update PUR1800 Phase 1b data anticipated in Q4 2021 Phase 1/ Phase 2 Study for PUR3100 in acute migraine treatment on-track for study start in Q1 2022 Cash runway extends be

Exhibit 99.1 Pulmatrix Reports First Quarter 2021 Financial Results and Provides Business Update PUR1800 Phase 1b data anticipated in Q4 2021 Phase 1/ Phase 2 Study for PUR3100 in acute migraine treatment on-track for study start in Q1 2022 Cash runway extends beyond anticipated PUR1800 Ph1b and PUR3100 Ph1/Ph2 data milestones Pulmatrix seeks reaffirmation of 50/50 partnership from Cipla Technolog

Other Events

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): May 10, 2021 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Numbe

-

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive

-

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive

Other Events, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K (Amendment No. 1) 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 6, 2021 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction (Commission (IRS Empl

Corrected: Pulmatrix to Regain Full Rights to PUR1800 and Narrow Spectrum Kinase Inhibitor Portfolio Termination of License, Development and Commercialization Agreement with the Lung Cancer Initiative at Johnson & Johnson will Return Portfolio to Pul

Exhibit 99.1 Corrected: Pulmatrix to Regain Full Rights to PUR1800 and Narrow Spectrum Kinase Inhibitor Portfolio Termination of License, Development and Commercialization Agreement with the Lung Cancer Initiative at Johnson & Johnson will Return Portfolio to Pulmatrix Pulmatrix to continue development of PUR1800 for treatment of Acute Exacerbations in Chronic Obstructive Pulmonary Disease (AECOPD

Regulation FD Disclosure, Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

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 6, 2021 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction (Commission (IRS Employer of incorporat

Investor Presentation, dated April 2021 (furnished herewith pursuant to Item 7.01)

Exhibit 99.1

Pulmatrix to Regain Full Rights to PUR1800 and Narrow Spectrum Kinase Inhibitor Portfolio Termination of License, Development and Commercialization Agreement with the Lung Cancer Initiative at Johnson & Johnson will Return Portfolio to Pulmatrix Pulm

Exhibit 99.2 Pulmatrix to Regain Full Rights to PUR1800 and Narrow Spectrum Kinase Inhibitor Portfolio Termination of License, Development and Commercialization Agreement with the Lung Cancer Initiative at Johnson & Johnson will Return Portfolio to Pulmatrix Pulmatrix to continue development of PUR1800 for treatment of Acute Exacerbations in Chronic Obstructive Pulmonary Disease (AECOPD) with Phas

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

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 2, 2021 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Numb

Annual Report -

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 1 (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 00

Pulmatrix Reports 2020 Financial Results and Provides Business Update Initiated PUR1800 Phase 1b study with data anticipated in Q4 2021 Pulmazole Ph2b study start anticipated Q1 2022 PUR3100 development candidate declared for pulmonary delivered DHE

Exhibit 99.1 Pulmatrix Reports 2020 Financial Results and Provides Business Update Initiated PUR1800 Phase 1b study with data anticipated in Q4 2021 Pulmazole Ph2b study start anticipated Q1 2022 PUR3100 development candidate declared for pulmonary delivered DHE (dihydroergotamine) acute migraine treatment Cash runway extends beyond all anticipated PUR1800 Ph1b, PUR3100 Ph1/Ph2, and Pulmazole Ph2b

Results of Operations and Financial Condition, Financial Statements and Exhibits

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): March 23, 2021 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File Num

Annual Report -

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36199 PULMATRIX,

Pulmatrix Provides a Pipeline and Business Update PUR1800 Phase 1b study dosing is underway with data anticipated in Q4 2021 Pulmatrix completed FDA Type-C meeting and anticipates a Pulmazole Ph2b study start in Q1 2022 PUR3100 lead DHE (dihydroergot

Exhibit 99.2 Pulmatrix Provides a Pipeline and Business Update PUR1800 Phase 1b study dosing is underway with data anticipated in Q4 2021 Pulmatrix completed FDA Type-C meeting and anticipates a Pulmazole Ph2b study start in Q1 2022 PUR3100 lead DHE (dihydroergotamine) formulation identified for pulmonary delivered acute migraine treatment Cash runway extends beyond anticipated PUR1800 Ph1b, PUR31

Regulation FD Disclosure, Financial Statements and Exhibits

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): March 4, 2021 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction (Commission (IRS Employer of incorporat

Corporate Presentation, dated March 4, 2021 (furnished herewith pursuant to Item 7.01)

Exhibit 99.1

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 PULMATRIX INC (Name of Issuer) Common Shares (Title of Class of Securities) 74584P202 (CUSIP Number) FiveT Investment Management Ltd c/o DMS Corporate Services, Suite 5B201, 2nd Floor, One Nexus Way Camana Bay, Grand Cayman, Cayman Islands KY1-1108 +1 345 749 2552 (Name, A

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. ____)* P

CUSIP No: 74584P202 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. )* Pulmatrix, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 74584P202 (CUSIP Number) Febr

Regulation FD Disclosure, Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Other Events, Financial Statements and Exhibits

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): February 11, 2021 PULMATRIX, INC. (Exact name of registrant as specified in its charter) Delaware 001-36199 46-1821392 (State or other jurisdiction of incorporation) (Commission File

Form of Placement Agent Warrant dated February 16, 2021

Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. 1)* Pulm

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20,000,000 Shares PULMATRIX, INC. Common Stock

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Form of Securities Purchase Agreement dated February 11, 2021, by and between Pulmatrix, Inc. and the purchaser parties thereto

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Exhibit 99.1

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