FERRARI RICHARD M 4
4 · Pulmonx Corp · Filed Oct 5, 2020
Insider Transaction Report
Form 4
Pulmonx CorpLUNG
Ferrari Richard
Director
Transactions
- Purchase
Common Stock
2020-10-05$19.00/sh+13,157$249,983→ 16,187 total - Conversion
Series B-1 Preferred Stock
2020-10-05−675,227→ 0 total(indirect: See Footnote)→ Common Stock (675,227 underlying) - Conversion
Series C-1 Preferred Stock
2020-10-05−327,560→ 0 total(indirect: See Footnote)→ Common Stock (327,560 underlying) - Conversion
Common Stock
2020-10-05+26,266→ 37,098 total(indirect: See Footnote) - Conversion
Common Stock
2020-10-05+675,227→ 712,325 total(indirect: See Footnote) - Conversion
Common Stock
2020-10-05+327,560→ 1,039,885 total(indirect: See Footnote) - Conversion
Common Stock
2020-10-05+126,603→ 1,166,488 total(indirect: See Footnote) - Conversion
Common Stock
2020-10-05+65,833→ 1,232,321 total(indirect: See Footnote) - Conversion
Common Stock
2020-10-05+3,030→ 3,030 total - Conversion
Series A-1 Preferred Stock
2020-10-05−26,266→ 0 total(indirect: See Footnote)→ Common Stock (26,266 underlying) - Conversion
Series D-1 Preferred Stock
2020-10-05−126,603→ 0 total(indirect: See Footnote)→ Common Stock (126,603 underlying) - Conversion
Series G-1 Preferred Stock
2020-10-05−3,030→ 0 total→ Common Stock (3,030 underlying) - Conversion
Series E-1 Preferred Stock
2020-10-05−65,833→ 0 total(indirect: See Footnote)→ Common Stock (65,833 underlying)
Footnotes (2)
- [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