Pulmonx Corp — Director's Dealing 2020

Oct 5, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Pulmonx Corp (LUNG)
CIK: 0001127537
Period of Report: 2020-10-05

Reporting Person: FERRARI RICHARD M (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-10-05	Common Stock	C	26266	—	Acquired	37098	Indirect
2020-10-05	Common Stock	C	675227	—	Acquired	712325	Indirect
2020-10-05	Common Stock	C	327560	—	Acquired	1039885	Indirect
2020-10-05	Common Stock	C	126603	—	Acquired	1166488	Indirect
2020-10-05	Common Stock	C	65833	—	Acquired	1232321	Indirect
2020-10-05	Common Stock	C	3030	—	Acquired	3030	Direct
2020-10-05	Common Stock	P	13157	$19	Acquired	16187	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-10-05	Series A-1 Preferred Stock	$	C	26266	Disposed		Common Stock (26266.0)	Indirect
2020-10-05	Series B-1 Preferred Stock	$	C	675227	Disposed		Common Stock (675227.0)	Indirect
2020-10-05	Series C-1 Preferred Stock	$	C	327560	Disposed		Common Stock (327560.0)	Indirect
2020-10-05	Series D-1 Preferred Stock	$	C	126603	Disposed		Common Stock (126603.0)	Indirect
2020-10-05	Series E-1 Preferred Stock	$	C	65833	Disposed		Common Stock (65833.0)	Indirect
2020-10-05	Series G-1 Preferred Stock	$	C	3030	Disposed		Common Stock (3030.0)	Direct

Footnotes

F1: 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.

F2: 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