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Filing Details

Accession Number:: 0001209191-21-047261
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-07-19 19:48:03
Reporting Period:: 2021-07-15

Accepted Time:: 2021-07-19 19:48:03
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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2021-07-15	4,375	$2.20	1,231,734	No	4	M	Direct
Common Stock	Disposition	2021-07-15	1,337	$37.61	1,230,397	No	4	S	Direct
Common Stock	Disposition	2021-07-15	11,163	$38.86	1,219,234	No	4	S	Direct
Common Stock	Disposition	2021-07-15	12,500	$38.73	1,206,734	No	4	S	Direct
Common Stock	Disposition	2021-07-15	93	$37.53	25,478	No	4	S	Indirect	See footnote
Common Stock	Disposition	2021-07-15	100	$38.20	25,378	No	4	S	Indirect	See footnote
Common Stock	Disposition	2021-07-15	807	$38.90	24,571	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	Direct
No	4	S	Indirect	See footnote
No	4	S	Indirect	See footnote
No	4	S	Indirect	See footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option (right to buy)	Disposition	2021-07-15	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
201,249		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 $37.14 to $38.06, 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 $38.20 to $39.18, 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.75 to $39.10, 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 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.