Filing Details
- Accession Number:
- 0001209191-21-042216
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-06-21 18:26:37
- Reporting Period:
- 2021-06-17
- Accepted Time:
- 2021-06-21 18:26:37
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1127537 | Pulmonx Corp | LUNG | Surgical & Medical Instruments & Apparatus (3841) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1805624 | Iii E. Glendon French | C/O Pulmonx Corporation 700 Chesapeake Drive Redwood City CA 94063 | President And Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2021-06-17 | 4,375 | $2.20 | 1,252,359 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-06-17 | 20,071 | $42.83 | 1,232,288 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-06-17 | 4,929 | $43.47 | 1,227,359 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-06-17 | 1,000 | $42.68 | 25,571 | No | 4 | S | Indirect | See footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Indirect | See footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-06-17 | 4,375 | $0.00 | 4,375 | $2.20 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 205,624 | 2030-08-27 | No | 4 | M | Direct |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2020.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.27 to $43.22, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.27 to $43.58, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Glendon E. French III Children's Irrevocable Trust on December 15, 2020.
- The shares are directly held by the Glendon E. French III Children's Irrevocable Trust dated 11-17-98 for which the Reporting Person is a trustee.
- The shares subject to the option are immediately exercisable and vest in 48 equal monthly installments beginning on August 28, 2020, subject to the Reporting Person's continuous service through each such vesting date.
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