8-K 1 form8-k.htm













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




(Exact name of registrant as specified in its charter)



Delaware   001-36199   46-1821392
(State or other jurisdiction
of incorporation)
File Number)
  (IRS Employer
Identification No.)


99 Hayden Avenue, Suite 390

Lexington, MA 02421

(Address of principal executive offices) (Zip Code)


(781) 357-2333

(Registrant’s telephone number, including area code)



(Former name or former address, if changed since last report)



Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:


[  ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
[  ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
[  ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
[  ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))


Securities registered pursuant to Section 12(b) of the Act:


Title of each class   Trading Symbol(s)   Name of exchange on which registered
Common Stock, par value $0.0001 per share   PULM   The NASDAQ Stock Market LLC


Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).


Emerging growth company [  ]


If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. [  ]







Item 5.07 Submission of Matters to a Vote of Security Holders.


On June 17, 2021, Pulmatrix, Inc. (the “Company”) held its 2021 annual meeting of stockholders (the “Annual Meeting”). A total of 31,388,300 shares of the Company’s common stock were present in person or represented by proxy at the Annual Meeting. Holders of the Company’s common stock were entitled to one vote per share. The matters submitted for a vote and the related results are set forth below.


  (1) Election of two directors to serve as Class I directors on our Board of Directors to serve until our 2024 Annual Meeting of Stockholders or until successors have been duly elected and qualified:


Director  For   Against   Withheld /Abstained   Broker Non-Votes 
Todd Bazemore   17,811,322    0    933,563    12,643,414 
Christopher Cabell, M.D.   16,146,004    0    2,598,881    12,643,414 


  (2) Ratification of the appointment of Marcum LLP as our independent registered public accounting firm for the 2021 fiscal year:


For  Against  Withheld /Abstained  Broker Non-Votes
29,996,931  365,385  1,025,983  0


For more information about the foregoing proposals, see the Company’s definitive proxy statement for the Annual Meeting, filed with the Securities and Exchange Commission on April 29, 2021, the relevant portions of which are incorporated herein by reference.


The results reported above are final voting results. No other matters were considered or voted upon at the meeting.







Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


Date: June 17, 2021 By: /s/ Teofilo Raad
    Teofilo Raad
    Chief Executive Officer