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Pulmonx Corp — Director's Dealing 2020
Oct 1, 2020
34428_dirs_2020-09-30_14339cba-0c2f-4b0a-815b-72368dac1dab.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Pulmonx Corp (LUNG)
CIK: 0001127537
Period of Report: 2020-09-30
Reporting Person: FERRARI RICHARD M (Director)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 10832 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series A-1 Preferred Stock | $ | Common Stock (26266.0) | Indirect | ||
| Series B-1 Preferred Stock | $ | Common Stock (675227.0) | Indirect | ||
| Series C-1 Preferred Stock | $ | Common Stock (327560.0) | Indirect | ||
| Series D-1 Preferred Stock | $ | Common Stock (126603.0) | Indirect | ||
| Series E-1 Preferred Stock | $ | Common Stock (65833.0) | Indirect |
Footnotes
F1: 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 shared voting and dispositive control over the shares held by De Novo.
F2: 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.