Filing Details
- Accession Number:
- 0001209191-23-016000
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-03-03 18:58:05
- Reporting Period:
- 2023-03-01
- Accepted Time:
- 2023-03-03 18:58:05
- 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 | Disposition | 2023-03-01 | 1,184 | $11.03 | 1,034,291 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-03-01 | 1,711 | $11.03 | 1,032,580 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-03-01 | 173,500 | $0.00 | 1,206,080 | No | 4 | A | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | A | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Acquisiton | 2023-03-01 | 356,300 | $0.00 | 356,300 | $11.48 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 356,300 | 2033-02-28 | No | 4 | A | Direct |
Footnotes
- These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the Restricted Stock Units granted on June 1, 2021.
- Includes 1,162 shares acquired by the reporting person under the Issuer's 2020 Employee Stock Purchase Plan on February 15, 2023.
- These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the Restricted Stock Units granted on March 1, 2022.
- Represents grant of Restricted Stock Units payable solely in common stock of the Issuer that vest over four years in equal quarterly installments beginning on March 1, 2023.
- The shares subject to the option vest in 48 equal monthly installments beginning on March 1, 2023.
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