Filing Details
- Accession Number:
- 0001628280-20-014287
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-10-05 16:16:49
- Reporting Period:
- 2020-10-05
- Accepted Time:
- 2020-10-05 16:16:49
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1127537 | Pulmonx Corp | LUNG | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1034413 | M Richard Ferrari | C/O Pulmonx Corporation 700 Chesapeake Drive Redwood City CA 94063 | Yes | No | 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 | 2020-10-05 | 26,266 | $0.00 | 37,098 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2020-10-05 | 675,227 | $0.00 | 712,325 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2020-10-05 | 327,560 | $0.00 | 1,039,885 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2020-10-05 | 126,603 | $0.00 | 1,166,488 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2020-10-05 | 65,833 | $0.00 | 1,232,321 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2020-10-05 | 3,030 | $0.00 | 3,030 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2020-10-05 | 13,157 | $19.00 | 16,187 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A-1 Preferred Stock | Disposition | 2020-10-05 | 26,266 | $0.00 | 26,266 | $0.00 |
| Common Stock | Series B-1 Preferred Stock | Disposition | 2020-10-05 | 675,227 | $0.00 | 675,227 | $0.00 |
| Common Stock | Series C-1 Preferred Stock | Disposition | 2020-10-05 | 327,560 | $0.00 | 327,560 | $0.00 |
| Common Stock | Series D-1 Preferred Stock | Disposition | 2020-10-05 | 126,603 | $0.00 | 126,603 | $0.00 |
| Common Stock | Series E-1 Preferred Stock | Disposition | 2020-10-05 | 65,833 | $0.00 | 65,833 | $0.00 |
| Common Stock | Series G-1 Preferred Stock | Disposition | 2020-10-05 | 3,030 | $0.00 | 3,030 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Direct |
Footnotes
- The Issuer's preferred stock automatically converted into an equal number of shares of the Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date.
- The shares are directly held by De Novo Ventures III Liquidating Trust ("De Novo"). The Reporting Person, along with Fred Dozier and Joseph Mandato, and Jay Watkins are the trustees of De Novo and exercise shares voting and dispositie control over the shares held by De Novo
Billionaire Hedge Funds
