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
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
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
  1. 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.
  2. 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.
  3. 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.
  4. 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.
  5. 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.
  6. 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.
  7. 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.