Pulmonx Corp — Director's Dealing 2020

Oct 1, 2020

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Pulmonx Corp (LUNG)
CIK: 0001127537
Period of Report: 2020-09-30

Reporting Person: Lindstrand Staffan (Director)

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series C-1 Preferred Stock	$		Common Stock (870277.0)		Indirect
Series C-1 Preferred Stock	$		Common Stock (13252.0)		Indirect
Series D-1 Preferred Stock	$		Common Stock (167897.0)		Indirect
Series D-1 Preferred Stock	$		Common Stock (2556.0)		Indirect
Series E-1 Preferred Stock	$		Common Stock (78550.0)		Indirect
Series E-1 Preferred Stock	$		Common Stock (1196.0)		Indirect

Footnotes

F1: Each share of Preferred Stock automatically converts on a one-for-one basis into Common Stock at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering, for no additional consideration. The Preferred Stock has no expiration date.

F2: 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.

F3: 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.