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SC 13G/A Filing
Pulmatrix (PULM) SC 13G/APulmatrix, Inc.
Filed: 8 Feb 16, 12:00am
CUSIP No. 74584P103 |
1 | NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Barry Honig |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) ¨ |
3 | SEC USE ONLY |
4 | CITIZENSHIP OR PLACE OF ORGANIZATION United States |
NUMBER OF SHARES | 5 | SOLE VOTING POWER 464,241 |
BENEFICIALLY OWNED BY | 6 | SHARED VOTING POWER 324,150(1)(2) |
EACH REPORTING | 7 | SOLE DISPOSITIVE POWER 464,241 |
PERSON WITH | 8 | SHARED DISPOSITIVE POWER 324,150(1)(2) |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 788,391(1)(2) |
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.4% (Based on 14,516,010 shares of common stock outstanding as of October 31, 2015) |
12 | TYPE OF REPORTING PERSON* IN |
(1) | Represents (i) 231,303 shares of common stock held by GRQ Consultants, Inc. Roth 401K FBO Barry Honig (“Roth 401K”) and (ii) 92,847 shares of common stock held by Marlin Capital Investments, LLC (“Marlin”). Mr. Honig is the trustee of Roth 401K and the managing member of Marlin and in such capacities holds voting and dispositive power over the securities held by such entities. |
(2) | Excludes 153,517 shares of common stock underlying warrants held by Marlin which contains a 4.99% beneficial ownership blocker. |
CUSIP No. 74584P103 |
1 | NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) GRQ Consultants, Inc. Roth 401K FBO Barry Honig |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) ¨ |
3 | SEC USE ONLY |
4 | CITIZENSHIP OR PLACE OF ORGANIZATION Florida |
NUMBER OF SHARES | 5 | SOLE VOTING POWER 0 |
BENEFICIALLY OWNED BY | 6 | SHARED VOTING POWER 231,303(1) |
EACH REPORTING | 7 | SOLE DISPOSITIVE POWER 0 |
PERSON WITH | 8 | SHARED DISPOSITIVE POWER 231,303(1) |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 231,303(1) |
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 1.6% (Based on 14,516,010 shares of common stock outstanding as of October 31, 2015) |
12 | TYPE OF REPORTING PERSON* OO |
(1) | Mr. Honig is the trustee of Roth 401K and in such capacity holds voting and dispositive power over the securities held by Roth 401K. |
CUSIP No. 74584P103 |
1 | NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Marlin Capital Investments, LLC |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) ¨ |
3 | SEC USE ONLY |
4 | CITIZENSHIP OR PLACE OF ORGANIZATION Florida |
NUMBER OF SHARES | 5 | SOLE VOTING POWER 0 |
BENEFICIALLY OWNED BY | 6 | SHARED VOTING POWER 92,847(1)(2) |
EACH REPORTING | 7 | SOLE DISPOSITIVE POWER 0 |
PERSON WITH | 8 | SHARED DISPOSITIVE POWER 92,847(1)(2) |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 92,847(1)(2) |
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.6% (Based on 14,516,010 shares of common stock outstanding as of October 31, 2015) |
12 | TYPE OF REPORTING PERSON* OO |
(1) | Barry Honig is the managing member of Marlin and in such capacity holds voting and dispositive power over the securities held by Marlin. |
(2) | Excludes 153,517 shares of common stock underlying warrants held by Marlin which contains a 4.99% beneficial ownership blocker. |
(1) | Represents (i) 231,303 shares of common stock held by Roth 401K and (ii) 92,847 shares of common stock held by Marlin. Mr. Honig is the trustee of Roth 401K and the managing member of Marlin and in such capacities holds voting and dispositive power over the securities held by such entities. |
(2) | Excludes warrants 153,517 shares of common stock underlying warrants held by Marlin which contains a 4.99% beneficial ownership blocker. |
Date: February 8, 2016 | By: | /s/ Barry Honig | |
Barry Honig | |||
GRQ Consultants, Inc. Roth 401K FBO Barry Honig | |||
Date: February 8, 2016 | By: | /s/ Barry Honig | |
Barry Honig, Trustee |
Marlin Capital Investments, LLC | |||
Date: February 8, 2016 | By: | /s/ Barry Honig | |
Barry Honig, Managing Member |