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: Mead Dana G Jr. (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-10-05	Common Stock	C	1268411	—	Acquired	1268411	Indirect
2020-10-05	Common Stock	C	168223	—	Acquired	1436634	Indirect
2020-10-05	Common Stock	C	87475	—	Acquired	1524109	Indirect
2020-10-05	Common Stock	P	26315	$19	Acquired	26315	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-10-05	Series C-1 Preferred Stock	$	C	1268411	Disposed		Common Stock (1268411.0)	Indirect
2020-10-05	Series D-1 Preferred Stock	$	C	168223	Disposed		Common Stock (168223.0)	Indirect
2020-10-05	Series E-1 Preferred Stock	$	C	87475	Disposed		Common Stock (87475.0)	Indirect

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 Kleiner Perkins Caufield & Byers XIII, LLC ("KPCB XIII"). All shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee". The managing member of KPCB XIII is KPCB XIII Associates, LLC ("XIII Associates"). The voting and dispositive control over the shares is shared by individual managing directors of XIII Associates, none of whom has veto power. Excludes 102,725 shares of Common Stock beneficially owned by individuals and entities associated with Kleiner Perkins Caufield & Byers and held for convenience in the name of "KPCB Holdings, Inc. as nominee," for the accounts of such individuals and entities who each exercise their own voting and dispositive control over such shares. The Reporting Person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.