Filing Details
- Accession Number:
- 0001193125-21-041547
- Form Type:
- 13G Filing
- Publication Date:
- 2021-02-11 19:00:00
- Filed By:
- Yu Fan
- Company:
- Pulmonx Corp (NASDAQ:LUNG)
- Filing Date:
- 2021-02-12
- SEC Url:
- 13G Filing
Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| ABG-Pulmonx Limited | 0 | 833,333 | 0 | 833,333 | 833,333 | 2.3% |
| Ally Bridge Group Innovation Capital Partners III | 0 | 833,333 | 0 | 833,333 | 833,333 | 2.3% |
| ABG Innovation Capital Partners III GP | 0 | 833,333 | 0 | 833,333 | 833,333 | 2.3% |
| ABG Innovation Capital Partners III GP Limited | 0 | 833,333 | 0 | 833,333 | 833,333 | 2.3% |
| ABG YY Limited | 0 | 303,030 | 0 | 303,030 | 303,030 | 0.8% |
| ABG Management Ltd | 0 | 502,152 | 0 | 502,152 | 502,152 | 1.4% |
| ABG WTT- Pulmonx Limited | 0 | 815,019 | 0 | 815,019 | 815,019 | 2.3% |
| Ally Bridge Group-WTT Global Life Science Capital Partners | 0 | 815,019 | 0 | 815,019 | 815,019 | 2.3% |
| ABG-WTT Global Life Science Capital Partners GP | 0 | 815,019 | 0 | 815,019 | 815,019 | 2.3% |
| ABG-WTT Global Life Science Capital Partners GP Limited | 0 | 815,019 | 0 | 815,019 | 815,019 | 2.3% |
| Ally Bridge MedAlpha Master Fund | 0 | 199,122 | 0 | 199,122 | 199,122 | 0.6% |
| Ally Bridge MedAlpha Management | 0 | 199,122 | 0 | 199,122 | 199,122 | 0.6% |
| Ally Bridge MedAlpha Management GP | 0 | 199,122 | 0 | 199,122 | 199,122 | 0.6% |
| Ally Bridge Group (NY) | 0 | 199,122 | 0 | 199,122 | 199,122 | 0.6% |
| Fan Yu | 0 | 1,335,485 | 0 | 1,335,485 | 1,335,485 | 3.7% |
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
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. 1)*
Pulmonx Corporation
(Name of Issuer)
Common Stock, $0.001 par value per share
(Title of Class of Securities)
745848101
(CUSIP Number)
December 31, 2020
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
☐ Rule 13d-1(b)
☐ Rule 13d-1(c)
☒ Rule 13d-1(d)
| * | The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. |
The information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
| CUSIP No. 745848101 | Schedule 13G | Page 1 of 23 |
| 1 | Names of Reporting Persons
ABG-Pulmonx Limited | |||||
| 2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐
| |||||
| 3 | SEC Use Only
| |||||
| 4 | Citizenship or Place of Organization
British Virgin Islands | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With | 5 | Sole Voting Power
0 | ||||
| 6 | Shared Voting Power
833,333 | |||||
| 7 | Sole Dispositive Power
0 | |||||
| 8 | Shared Dispositive Power
833,333 | |||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person
833,333 | |||||
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares
Not Applicable | |||||
| 11 | Percent of Class Represented by Amount in Row 9
2.3% | |||||
| 12 | Type of Reporting Person
CO | |||||
| CUSIP No. 745848101 | Schedule 13G | Page 2 of 23 |
| 1 | Names of Reporting Persons
Ally Bridge Group Innovation Capital Partners III, L.P. | |||||
| 2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐
| |||||
| 3 | SEC Use Only
| |||||
| 4 | Citizenship or Place of Organization
Cayman Islands | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With | 5 | Sole Voting Power
0 | ||||
| 6 | Shared Voting Power
833,333 | |||||
| 7 | Sole Dispositive Power
0 | |||||
| 8 | Shared Dispositive Power
833,333 | |||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person
833,333 | |||||
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares
Not Applicable | |||||
| 11 | Percent of Class Represented by Amount in Row 9
2.3% | |||||
| 12 | Type of Reporting Person
PN | |||||
| CUSIP No. 745848101 | Schedule 13G | Page 3 of 23 |
| 1 | Names of Reporting Persons
ABG Innovation Capital Partners III GP, L.P. | |||||
| 2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐
| |||||
| 3 | SEC Use Only
| |||||
| 4 | Citizenship or Place of Organization
Cayman Islands | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With | 5 | Sole Voting Power
0 | ||||
| 6 | Shared Voting Power
833,333 | |||||
| 7 | Sole Dispositive Power
0 | |||||
| 8 | Shared Dispositive Power
833,333 | |||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person
833,333 | |||||
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares
Not Applicable | |||||
| 11 | Percent of Class Represented by Amount in Row 9
2.3% | |||||
| 12 | Type of Reporting Person
PN | |||||
| CUSIP No. 745848101 | Schedule 13G | Page 4 of 23 |
| 1 | Names of Reporting Persons
ABG Innovation Capital Partners III GP Limited | |||||
| 2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐
| |||||
| 3 | SEC Use Only
| |||||
| 4 | Citizenship or Place of Organization
Cayman Islands | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With | 5 | Sole Voting Power
0 | ||||
| 6 | Shared Voting Power
833,333 | |||||
| 7 | Sole Dispositive Power
0 | |||||
| 8 | Shared Dispositive Power
833,333 | |||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person
833,333 | |||||
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares
Not Applicable | |||||
| 11 | Percent of Class Represented by Amount in Row 9
2.3% | |||||
| 12 | Type of Reporting Person
CO | |||||
| CUSIP No. 745848101 | Schedule 13G | Page 5 of 23 |
| 1 | Names of Reporting Persons
ABG YY Limited | |||||
| 2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐
| |||||
| 3 | SEC Use Only
| |||||
| 4 | Citizenship or Place of Organization
British Virgin Islands | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With | 5 | Sole Voting Power
0 | ||||
| 6 | Shared Voting Power
303,030 | |||||
| 7 | Sole Dispositive Power
0 | |||||
| 8 | Shared Dispositive Power
303,030 | |||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person
303,030 | |||||
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares
Not Applicable | |||||
| 11 | Percent of Class Represented by Amount in Row 9
0.8% | |||||
| 12 | Type of Reporting Person
CO | |||||
| CUSIP No. 745848101 | Schedule 13G | Page 6 of 23 |
| 1 | Names of Reporting Persons
ABG Management Ltd. | |||||
| 2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐
| |||||
| 3 | SEC Use Only
| |||||
| 4 | Citizenship or Place of Organization
Cayman Islands | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With | 5 | Sole Voting Power
0 | ||||
| 6 | Shared Voting Power
502,152 | |||||
| 7 | Sole Dispositive Power
0 | |||||
| 8 | Shared Dispositive Power
502,152 | |||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person
502,152 | |||||
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares
Not Applicable | |||||
| 11 | Percent of Class Represented by Amount in Row 9
1.4% | |||||
| 12 | Type of Reporting Person
CO | |||||
| CUSIP No. 745848101 | Schedule 13G | Page 7 of 23 |
| 1 | Names of Reporting Persons
ABG WTT- Pulmonx Limited | |||||
| 2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐
| |||||
| 3 | SEC Use Only
| |||||
| 4 | Citizenship or Place of Organization
Cayman Islands | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With | 5 | Sole Voting Power
0 | ||||
| 6 | Shared Voting Power
815,019 | |||||
| 7 | Sole Dispositive Power
0 | |||||
| 8 | Shared Dispositive Power
815,019 | |||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person
815,019 | |||||
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares
Not Applicable | |||||
| 11 | Percent of Class Represented by Amount in Row 9
2.3% | |||||
| 12 | Type of Reporting Person
CO | |||||
| CUSIP No. 745848101 | Schedule 13G | Page 8 of 23 |
| 1 | Names of Reporting Persons
Ally Bridge Group-WTT Global Life Science Capital Partners, L.P. | |||||
| 2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐
| |||||
| 3 | SEC Use Only
| |||||
| 4 | Citizenship or Place of Organization
Cayman Islands | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With | 5 | Sole Voting Power
0 | ||||
| 6 | Shared Voting Power
815,019 | |||||
| 7 | Sole Dispositive Power
0 | |||||
| 8 | Shared Dispositive Power
815,019 | |||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person
815,019 | |||||
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares
Not Applicable | |||||
| 11 | Percent of Class Represented by Amount in Row 9
2.3% | |||||
| 12 | Type of Reporting Person
PN | |||||
| CUSIP No. 745848101 | Schedule 13G | Page 9 of 23 |
| 1 | Names of Reporting Persons
ABG-WTT Global Life Science Capital Partners GP, L.P. | |||||
| 2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐
| |||||
| 3 | SEC Use Only
| |||||
| 4 | Citizenship or Place of Organization
Cayman Islands | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With | 5 | Sole Voting Power
0 | ||||
| 6 | Shared Voting Power
815,019 | |||||
| 7 | Sole Dispositive Power
0 | |||||
| 8 | Shared Dispositive Power
815,019 | |||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person
815,019 | |||||
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares
Not Applicable | |||||
| 11 | Percent of Class Represented by Amount in Row 9
2.3% | |||||
| 12 | Type of Reporting Person
PN | |||||
| CUSIP No. 745848101 | Schedule 13G | Page 10 of 23 |
| 1 | Names of Reporting Persons
ABG-WTT Global Life Science Capital Partners GP Limited | |||||
| 2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐
| |||||
| 3 | SEC Use Only
| |||||
| 4 | Citizenship or Place of Organization
Cayman Islands | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With | 5 | Sole Voting Power
0 | ||||
| 6 | Shared Voting Power
815,019 | |||||
| 7 | Sole Dispositive Power
0 | |||||
| 8 | Shared Dispositive Power
815,019 | |||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person
815,019 | |||||
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares
Not Applicable | |||||
| 11 | Percent of Class Represented by Amount in Row 9
2.3% | |||||
| 12 | Type of Reporting Person
CO | |||||
| CUSIP No. 745848101 | Schedule 13G | Page 11 of 23 |
| 1 | Names of Reporting Persons
Ally Bridge MedAlpha Master Fund L.P. | |||||
| 2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐
| |||||
| 3 | SEC Use Only
| |||||
| 4 | Citizenship or Place of Organization
Cayman Islands | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With | 5 | Sole Voting Power
0 | ||||
| 6 | Shared Voting Power
199,122 | |||||
| 7 | Sole Dispositive Power
0 | |||||
| 8 | Shared Dispositive Power
199,122 | |||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person
199,122 | |||||
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares
Not Applicable | |||||
| 11 | Percent of Class Represented by Amount in Row 9
0.6% | |||||
| 12 | Type of Reporting Person
PN | |||||
| CUSIP No. 745848101 | Schedule 13G | Page 12 of 23 |
| 1 | Names of Reporting Persons
Ally Bridge MedAlpha Management L.P. | |||||
| 2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐
| |||||
| 3 | SEC Use Only
| |||||
| 4 | Citizenship or Place of Organization
Cayman Islands | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With | 5 | Sole Voting Power
0 | ||||
| 6 | Shared Voting Power
199,122 | |||||
| 7 | Sole Dispositive Power
0 | |||||
| 8 | Shared Dispositive Power
199,122 | |||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person
199,122 | |||||
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares
Not Applicable | |||||
| 11 | Percent of Class Represented by Amount in Row 9
0.6% | |||||
| 12 | Type of Reporting Person
PN | |||||
| CUSIP No. 745848101 | Schedule 13G | Page 13 of 23 |
| 1 | Names of Reporting Persons
Ally Bridge MedAlpha Management GP, LLC | |||||
| 2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐
| |||||
| 3 | SEC Use Only
| |||||
| 4 | Citizenship or Place of Organization
Cayman Islands | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With | 5 | Sole Voting Power
0 | ||||
| 6 | Shared Voting Power
199,122 | |||||
| 7 | Sole Dispositive Power
0 | |||||
| 8 | Shared Dispositive Power
199,122 | |||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person
199,122 | |||||
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares
Not Applicable | |||||
| 11 | Percent of Class Represented by Amount in Row 9
0.6% | |||||
| 12 | Type of Reporting Person
OO | |||||
| CUSIP No. 745848101 | Schedule 13G | Page 14 of 23 |
| 1 | Names of Reporting Persons
Ally Bridge Group (NY) LLC | |||||
| 2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐
| |||||
| 3 | SEC Use Only
| |||||
| 4 | Citizenship or Place of Organization
Delaware | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With | 5 | Sole Voting Power
0 | ||||
| 6 | Shared Voting Power
199,122 | |||||
| 7 | Sole Dispositive Power
0 | |||||
| 8 | Shared Dispositive Power
199,122 | |||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person
199,122 | |||||
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares
Not Applicable | |||||
| 11 | Percent of Class Represented by Amount in Row 9
0.6% | |||||
| 12 | Type of Reporting Person
OO | |||||
| CUSIP No. 745848101 | Schedule 13G | Page 15 of 23 |
| 1 | Names of Reporting Persons
Fan Yu | |||||
| 2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐
| |||||
| 3 | SEC Use Only
| |||||
| 4 | Citizenship or Place of Organization
Hong Kong | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With | 5 | Sole Voting Power
0 | ||||
| 6 | Shared Voting Power
1,335,485 | |||||
| 7 | Sole Dispositive Power
0 | |||||
| 8 | Shared Dispositive Power
1,335,485 | |||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person
1,335,485 | |||||
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares
Not Applicable | |||||
| 11 | Percent of Class Represented by Amount in Row 9
3.7% | |||||
| 12 | Type of Reporting Person
IN | |||||
| CUSIP No. 745848101 | Schedule 13G | Page 16 of 23 |
| ITEM 1. | (a) Name of Issuer: |
Pulmonx Corporation (the Issuer)
| (b) | Address of Issuers Principal Executive Offices: |
700 Chesapeake Drive, Redwood City, California 94063.
| ITEM 2. | (a) Name of Person Filing: |
Each of the following is hereinafter individually referred to as a Reporting Person and collectively as the Reporting Persons. This statement is filed on behalf of:
ABG-Pulmonx Limited
Ally Bridge Group Innovation Capital Partners III, L.P.
ABG Innovation Capital Partners III GP, L.P.
ABG Innovation Capital Partners III GP Limited
ABG YY Limited
ABG Management Ltd.
ABG WTT- Pulmonx Limited
Ally Bridge Group-WTT Global Life Science Capital Partners, L.P.
ABG-WTT Global Life Science Capital Partners GP, L.P.
ABG-WTT Global Life Science Capital Partners GP Limited
Ally Bridge MedAlpha Master Fund L.P. (MedAlpha)
Ally Bridge MedAlpha Management L.P.
Ally Bridge MedAlpha Management GP, LLC
Ally Bridge Group (NY) LLC
Fan Yu
| (b) | Address or Principal Business Office: |
The principal business address for ABG-Pulmonx Limited, ABG Management Ltd., ABG WTT- Pulmonx Limited, Ally Bridge Group-WTT Global Life Science Capital Partners, L.P., ABG-WTT Global Life Science Capital Partners GP, L.P., ABG-WTT Global Life Science Capital Partners GP Limited, Ally Bridge Group Innovation Capital Partners III, L.P., ABG Innovation Capital Partners III GP, L.P., ABG Innovation Capital Partners III GP Limited and Fan Yu is Unit 3002-3004, 30/F, Gloucester Tower, The Landmark, 15 Queens Road Central, Hong Kong. The principal business address for ABG YY Limited is 27/F, No. 238 Des Voeux Road Central, Hong Kong. The principal business address for MedAlpha, Ally Bridge MedAlpha Management L.P., Ally Bridge MedAlpha Management GP, LLC and Ally Bridge Group (NY) LLC is 430 Park Avenue, 12th Floor, New York, NY 10022.
| CUSIP No. 745848101 | Schedule 13G | Page 17 of 23 |
| (c) | Citizenship of each Reporting Person is: |
ABG YY Limited and ABG-Pulmonx Limited are entities organized under the laws of the British Virgin Islands.
ABG Innovation Capital Partners III GP Limited, ABG Innovation Capital Partners III GP, L.P., Ally Bridge Group Innovation Capital Partners III, L.P., ABG WTT- Pulmonx Limited, Ally Bridge Group-WTT Global Life Science Capital Partners, L.P., ABG-WTT Global Life Science Capital Partners GP, L.P., ABG-WTT Global Life Science Capital Partners GP Limited, MedAlpha, Ally Bridge MedAlpha Management L.P., Ally Bridge MedAlpha Management GP, LLC and ABG Management Ltd. are entities organized under the laws of the Cayman Islands.
Ally Bridge Group (NY) LLC is an entity organized under the laws of State of Delaware.
Mr. Fan Yu is a citizen of Hong Kong.
| (d) | Title of Class of Securities: |
Common Stock, par value $0.001 (Common Stock).
| (e) | CUSIP Number: |
745848101
| ITEM 3. |
Not applicable.
| ITEM 4. | Ownership. |
(a-c)
The ownership information presented below represents beneficial ownership of Common Stock of the Issuer as of December 31, 2020, based upon 35,668,953 shares of Common Stock outstanding as of October 30, 2020 based on the Issuers quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 13, 2020.
| CUSIP No. 745848101 | Schedule 13G | Page 18 of 23 |
| Reporting Person | Amount beneficially owned | Percent of class: | Sole power to vote or to direct the vote: | Shared power to vote or to direct the vote: | Sole power to dispose or to direct the disposition of: | Shared to direct the of: | ||||||||||||||||||
| ABG-Pulmonx Limited | 833,333 | 2.3 | % | 0 | 833,333 | 0 | 833,333 | |||||||||||||||||
| Ally Bridge Group Innovation Capital Partners III, L.P. | 833,333 | 2.3 | % | 0 | 833,333 | 0 | 833,333 | |||||||||||||||||
| ABG Innovation Capital Partners III GP, L.P. | 833,333 | 2.3 | % | 0 | 833,333 | 0 | 833,333 | |||||||||||||||||
| ABG Innovation Capital Partners III GP Limited | 833,333 | 2.3 | % | 0 | 833,333 | 0 | 833,333 | |||||||||||||||||
| ABG YY Limited | 303,030 | 0.8 | % | 0 | 303,030 | 0 | 303,030 | |||||||||||||||||
| ABG Management Ltd. | 502,152 | 1.4 | % | 0 | 502,152 | 0 | 502,152 | |||||||||||||||||
| ABG WTT- Pulmonx Limited | 815,019 | 2.3 | % | 0 | 815,019 | 0 | 815,019 | |||||||||||||||||
| Ally Bridge Group-WTT Global Life Science Capital Partners, L.P. | 815,019 | 2.3 | % | 0 | 815,019 | 0 | 815,019 | |||||||||||||||||
| ABG-WTT Global Life Science Capital Partners GP, L.P. | 815,019 | 2.3 | % | 0 | 815,019 | 0 | 815,019 | |||||||||||||||||
| ABG-WTT Global Life Science Capital Partners GP Limited | 815,019 | 2.3 | % | 0 | 815,019 | 0 | 815,019 | |||||||||||||||||
| Ally Bridge MedAlpha Master Fund L.P. | 199,122 | 0.6 | % | 0 | 199,122 | 0 | 199,122 | |||||||||||||||||
| Ally Bridge MedAlpha Management L.P. | 199,122 | 0.6 | % | 0 | 199,122 | 0 | 199,122 | |||||||||||||||||
| Ally Bridge MedAlpha Management GP, LLC | 199,122 | 0.6 | % | 0 | 199,122 | 0 | 199,122 | |||||||||||||||||
| Ally Bridge Group (NY) LLC | 199,122 | 0.6 | % | 0 | 199,122 | 0 | 199,122 | |||||||||||||||||
| Fan Yu | 1,335,485 | 3.7 | % | 0 | 1,335,485 | 0 | 1,335,485 | |||||||||||||||||
ABG Innovation Capital Partners III GP Limited is the general partner of ABG Innovation Capital Partners III GP, L.P., which is the general partner of Ally Bridge Group Innovation Capital Partners III, L.P., which owns 100% of the ordinary voting shares of ABG-Pulmonx Limited, and may be deemed to beneficially own the Common Stock held by ABG-Pulmonx Limited.
ABG-WTT Global Life Science Capital Partners GP Limited is the general partner of ABG-WTT Global Life Science Capital Partners GP, L.P., which is the general partner of Ally Bridge Group-WTT Global Life Science Capital Partners, L.P., which owns 100% of the equity of ABG WTT- Pulmonx Limited, and may be deemed to beneficially own the Common Stock held by ABG WTT- Pulmonx Limited.
Mr. Fan Yu is the sole shareholder of ABG Management Ltd., which is the sole member of each of Ally Bridge MedAlpha Management GP, LLC and Ally Bridge Group (NY) LLC, and has a contractual right to appoint a director to the board of directors of ABG YY Limited.
Ally Bridge Group (NY) LLC and Ally Bridge MedAlpha Management L.P., acting through its general partner Ally Bridge MedAlpha Management GP, LLC, manage MedAlphas investments. As such, each of the foregoing entities and Mr. Fan Yu may be deemed to share beneficial ownership of the shares held of record by MedAlpha.
Mr. Fan Yu is in a position to, directly or indirectly, exercise or share the ultimate voting and disposition control of the Common Stock owned by each of ABG-Pulmonx Limited, ABG YY Limited, and MedAlpha.
| CUSIP No. 745848101 | Schedule 13G | Page 19 of 23 |
| ITEM 5. | Ownership of Five Percent or Less of a Class. |
Not applicable.
| ITEM 6. | Ownership of More than Five Percent on Behalf of Another Person. |
Not applicable.
| ITEM 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. |
Not applicable.
| ITEM 8. | Identification and Classification of Members of the Group. |
Not applicable.
| ITEM 9. | Notice of Dissolution of Group. |
Not applicable.
| ITEM 10. | Certification. |
Not applicable.
| CUSIP No. 745848101 | Schedule 13G | Page 20 of 23 |
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Date: February 12, 2021
| ABG-Pulmonx Limited | ||
| By: | /s/ Pang, Andrew Chee On | |
| Name: | Pang, Andrew Chee On | |
| Title: | Director | |
| Ally Bridge Group Innovation Capital Partners III, L.P. | ||
| By: ABG Innovation Capital Partners III GP, L.P., its general partner | ||
| By: ABG Innovation Capital Partners III GP Limited, its general partner | ||
| By: | /s/ Fan Yu | |
| Name: | Fan Yu | |
| Title: | Director | |
| ABG Innovation Capital Partners III GP, L.P. | ||
| By: ABG Innovation Capital Partners III GP Limited, its general partner | ||
| By: | /s/ Fan Yu | |
| Name: | Fan Yu | |
| Title: | Director | |
| ABG Innovation Capital Partners III GP Limited | ||
| By: | /s/ Fan Yu | |
| Name: | Fan Yu | |
| Title: | Director | |
| ABG YY Limited | ||
| By: | /s/ Pang, Andrew Chee On | |
| Name: | Pang, Andrew Chee On | |
| Title: | Director | |
| CUSIP No. 745848101 | Schedule 13G | Page 21 of 23 |
| ABG Management Ltd. | ||
| By: | /s/ Fan Yu | |
| Name: | Fan Yu | |
| Title: | Director | |
| ABG WTT- Pulmonx Limited | ||
| By: | /s/ Pang, Andrew Chee On | |
| Name: | Pang, Andrew Chee On | |
| Title: | Director | |
| Ally Bridge Group-WTT Global Life Science Capital Partners, L.P. | ||
| By: ABG-WTT Global Life Science Capital Partners GP, L.P., its general partner | ||
| By: ABG-WTT Global Life Science Capital Partners GP Limited, its general partner | ||
| By: | /s/ Fan Yu | |
| Name: | Fan Yu | |
| Title: | Director | |
| ABG-WTT Global Life Science Capital Partners GP, L.P. | ||
| By: ABG-WTT Global Life Science Capital Partners GP Limited, its general partner | ||
| By: | /s/ Fan Yu | |
| Name: | Fan Yu | |
| Title: | Director | |
| ABG-WTT Global Life Science Capital Partners GP Limited | ||
| By: | /s/ Fan Yu | |
| Name: | Fan Yu | |
| Title: | Director | |
| CUSIP No. 745848101 | Schedule 13G | Page 22 of 23 |
| Ally Bridge MedAlpha Master Fund L.P. | ||
| By: Ally Bridge MedAlpha General Partner L.P., its general partner | ||
| By: Ally Bridge MedAlpha GP, LLC, its general partner | ||
| By: | /s/ Fan Yu | |
| Name: | Fan Yu | |
| Title: | Manager | |
| Ally Bridge MedAlpha Management L.P. | ||
| By: Ally Bridge MedAlpha Management GP, LLC, its general partner | ||
| By: ABG Management Ltd., its managing member | ||
| By: | /s/ Fan Yu | |
| Name: | Fan Yu | |
| Title: | Director | |
| Ally Bridge MedAlpha Management GP, LLC | ||
| By: ABG Management Ltd., its managing member | ||
| By: | /s/ Fan Yu | |
| Name: | Fan Yu | |
| Title: | Director | |
| Ally Bridge Group (NY) LLC | ||
| By: ABG Management Ltd., its managing member | ||
| By: | /s/ Fan Yu | |
| Name: | Fan Yu | |
| Title: | Director | |
| Fan Yu | ||
| /s/ Fan Yu | ||
| CUSIP No. 745848101 | Schedule 13G | Page 23 of 23 |
LIST OF EXHIBITS
| Exhibit No. | Description | |
| 99 | Joint Filing Agreement (incorporated by reference to the Schedule 13G filed by the Reporting Persons on October 13, 2020). | |