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: Lindstrand Staffan (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-10-05	Common Stock	C	870277	—	Acquired	870277	Indirect
2020-10-05	Common Stock	C	13252	—	Acquired	13252	Indirect
2020-10-05	Common Stock	C	167897	—	Acquired	1038174	Indirect
2020-10-05	Common Stock	C	2556	—	Acquired	15808	Indirect
2020-10-05	Common Stock	C	78550	—	Acquired	1116724	Indirect
2020-10-05	Common Stock	C	1196	—	Acquired	17004	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-10-05	Series C-1 Preferred Stock	$	C	870277	Disposed		Common Stock (870277.0)	Indirect
2020-10-05	Series C-1 Preferred Stock	$	C	13252	Disposed		Common Stock (13252.0)	Indirect
2020-10-05	Series D-1 Preferred Stock	$	C	167897	Disposed		Common Stock (167897.0)	Indirect
2020-10-05	Series D-1 Preferred Stock	$	C	2556	Disposed		Common Stock (2556.0)	Indirect
2020-10-05	Series E-1 Preferred Stock	$	C	78550	Disposed		Common Stock (78550.0)	Indirect
2020-10-05	Series E-1 Preferred Stock	$	C	1196	Disposed		Common Stock (1196.0)	Indirect

Footnotes

F1: The shares are directly held by HealthCap V, L.P. ("HCLP"). HealthCap V GP SA ("HCSA") is the sole general partner of HCLP. HCSA has voting and dispositive power over the shares held by HCLP. The Reporting Person, a member of HCSA, may be deemed to possess voting and dispositive power over the shares held by HCLP and may be deemed to have indirect beneficial ownership of the shares held by such entities. The Reporting Person disclaims beneficial ownership of shares held by HCLP except to the extent of any pecuniary interest therein.

F2: The shares are directly held by OFCO Club V ("OFCO"). OFP V Advisor AB ("OFP V AB") is a member of OFCO and has voting and dispositive control over the shares held by OFCO. The Reporting Person, a member of OFP V AB, may be deemed to possess voting and dispositive control over the shares held by OFCO and may be deemed to have indirect beneficial ownership of the shares held by OFCO. The Reporting Person disclaims beneficial ownership of the shares held by OFCO.

F3: The Issuer's preferred stock automatically converted into an equal number of shares of Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date.