PULM

Pulmatrix, Inc. PULM

Individual Beneficiary

Name of reporting person Citizenship or organization Sole voting power Shared voting power Sole dispositive power Shared dispositive power Amount beneficially owned Percent of class Accepted date
Hal Mintz USA 0 301938 0 301938 301938 8.3 % 10/01/2023
Sabby Volatility Warrant Master Fund, Ltd. Cayman Islands 0 301938 0 301938 301938 8.3 % 10/01/2023
Sabby Management, LLC Delaware, USA 0 301938 0 301938 301938 8.3 % 10/01/2023
Renaissance Technologies LLC Delaware 2224264 0 2450601 0 2450601 4.36 % 10/02/2022
RENAISSANCE TECHNOLOGIES HOLDINGS CORPORATION Delaware 2224264 0 2450601 0 2450601 4.36 % 10/02/2022
Sabby Management, LLC Delaware USA 0 1975309 0 1975309 1975309 6.43 % 05/01/2022
Hal Mintz USA 0 1975309 0 1975309 1975309 6.43 % 05/01/2022
Sabby Volatility Warrant Master Fund, Ltd. Cayman Islands 0 3617043 0 3617043 3617043 6.43 % 05/01/2022
Heights Capital Management, Inc. Delaware 0 3500000 0 3500000 3500000 6.2 % 24/02/2021
CVI Investments, Inc. Cayman Islands 0 3500000 0 3500000 3500000 6.2 % 24/02/2021
CVI Investments, Inc. Cayman Islands 0 1807108 0 1807108 1807108 4.9 % 16/02/2021
Heights Capital Management, Inc. Delaware 0 1807108 0 1807108 1807108 4.9 % 16/02/2021
RENAISSANCE TECHNOLOGIES HOLDINGS CORPORATION Delaware 2168598 0 2572542 0 2572542 7.48 % 10/02/2021
Renaissance Technologies LLC Delaware 2168598 0 2572542 0 2572542 7.48 % 10/02/2021
Intracoastal Capital LLC Delaware 0 2370000 0 2370000 2370000 6.4 % 29/01/2021
Mitchell P. Kopin United States of America 0 2370000 0 2370000 2370000 6.4 % 29/01/2021
Daniel B. Asher United States of America 0 2370000 0 2370000 2370000 6.4 % 29/01/2021
Sabby Management, LLC Delaware USA 0 1975309 0 1975309 1975309 5.74 % 07/01/2021
Hal Mintz USA 0 1975309 0 1975309 1975309 5.74 % 07/01/2021
Sabby Volatility Warrant Master Fund, Ltd. Cayman Islands 0 1975309 0 1975309 1975309 5.74 % 07/01/2021
Sabby Volatility Warrant Master Fund, Ltd. Cayman Islands 0 1644502 0 1644502 1644502 5.3 % 24/07/2020
Hal Mintz USA 0 1644502 0 1644502 1644502 5.3 % 24/07/2020
Sabby Management, LLC Delaware USA 0 1644502 0 1644502 1644502 5.3 % 24/07/2020
Steven Boyd United States of America 0 1320180 0 1320180 1320180 4.99 % 24/04/2020
Armistice Capital Master Fund Ltd. Cayman Islands 0 1320180 0 1320180 1320180 4.99 % 24/04/2020
Armistice Capital, LLC Delaware 0 1320180 0 1320180 1320180 4.99 % 24/04/2020
Heights Capital Management, Inc. 1350000 5.3 % 24/04/2020
CVI Investments, Inc. 1350000 5.3 % 24/04/2020
Bigger Capital Fund GP, LLC Delaware 0 335037 0 335037 335037 1.6 % 11/02/2020
Bigger Capital Fund, LP Delaware 0 335037 0 335037 335037 1.6 % 11/02/2020
District 2 Capital Fund LP Delaware 0 295791 0 295791 295791 1.5 % 11/02/2020
District 2 Capital LP Delaware 0 295791 0 295791 295791 1.5 % 11/02/2020
District 2 GP LLC Delaware 0 295791 0 295791 295791 1.5 % 11/02/2020
District 2 Holdings LLC Delaware 0 295791 0 295791 295791 1.5 % 11/02/2020
Michael Bigger USA 0 630828 0 630828 630828 3.1 % 11/02/2020
Intracoastal Capital LLC Delaware 0 1173111 0 1173111 1173111 5.5 % 11/02/2020
Daniel B. Asher United States of America 0 1173111 0 1173111 1173111 5.5 % 11/02/2020
Mitchell P. Kopin United States of America 0 1173111 0 1173111 1173111 5.5 % 11/02/2020
Empery Asset Management, LP Delaware 0 5583644 0 5583644 5583644 4.99 % 15/01/2020
Martin D. Hoe United States 0 5583644 0 5583644 5583644 4.99 % 15/01/2020
Ryan M. Lane United States 0 5583644 0 5583644 5583644 4.99 % 15/01/2020
Hal Mintz USA 0 997729 0 997729 997729 4.99 % 09/01/2020
Sabby Management, LLC Delaware USA 0 997729 0 997729 997729 4.99 % 09/01/2020
Sabby Volatility Warrant Master Fund, Ltd. Cayman Islands 0 997729 0 997729 997729 4.99 % 09/01/2020
Hal Mintz USA 0 1008500 0 1008500 1008500 5.19 % 03/06/2019
Sabby Management, LLC Delaware, USA 0 1008500 0 1008500 1008500 5.19 % 03/06/2019
Sabby Volatility Warrant Master Fund, Ltd. Cayman Islands 0 1008500 0 1008500 1008500 5.19 % 03/06/2019
Mitchell P. Kopin United States of America 0 1097522 0 1097522 1097522 9.99 % 17/04/2019
Intracoastal Capital LLC Delaware 0 1097522 0 1097522 1097522 9.99 % 17/04/2019
Daniel B. Asher United States of America 0 1097522 0 1097522 1097522 9.99 % 17/04/2019
Empery Tax Efficient II, LP Delaware 0 774545 0 774545 774545 9.99 % 15/04/2019
Martin D. Hoe United States 0 969871 0 969871 969871 9.99 % 15/04/2019
Empery Asset Master, Ltd. Cayman Islands 0 151884 0 151884 151884 7.29 % 15/04/2019
Ryan M. Lane United States 0 969871 0 969871 969871 9.99 % 15/04/2019
Empery Asset Management, LP Delaware 0 969871 0 969871 969871 9.99 % 15/04/2019
District 2 Capital Fund LP Delaware 0 295791 0 295791 295791 3.7 % 19/02/2019
Bigger Capital Fund GP, LLC Delaware 0 273037 0 273037 273037 3.4 % 19/02/2019
District 2 Capital LP Delaware 0 295791 0 295791 295791 3.7 % 19/02/2019
District 2 GP LLC Delaware 0 295791 0 295791 295791 3.7 % 19/02/2019
District 2 Holdings LLC Delaware 0 295791 0 295791 295791 3.7 % 19/02/2019
Michael Bigger USA 0 568828 0 568828 568828 7.1 % 19/02/2019
Bigger Capital Fund, LP Delaware 0 273037 0 273037 273037 3.4 % 19/02/2019
S Barry Honig United States 282650 0 282650 0 282650 1.92 % 09/02/2017
Michael Brauser United States 14409 1128241 14409 1128241 1142650 7.9 % 01/03/2016
S Barry Honig United States 464241 324150 464241 324150 788391 5.4 % 08/02/2016
S Marlin Capital Investments, LLC Florida 0 92847 0 92847 92847 0.6 % 08/02/2016
S GRQ Consultants, Inc. Roth K FBO Barry Honig Florida 0 231303 0 231303 231303 1.6 % 08/02/2016
Barry Honig United States 107549 369748 107549 369748 477297 9.9 % 02/06/2015
Marlin Capital Investments LLC Florida 0 369748 0 369748 369748 7.7 % 02/06/2015
EIN Delaware 2000000 0 2000000 0 2000000 43.01 % 10/04/2014
Barry Honig United States 0 383793 0 383793 383793 8.25 % 26/03/2014
Marlin Capital Investments LLC Florida 0 383793 0 383793 383793 8.25 % 26/03/2014

Senat trading

Bureau Date de la transaction Date de réception Type Amount Commentaire

Senat Divulgation

Représentant Date de la transaction Date de divulgation Type Amount District