Form 4 for LUNG Pulmonx Corp
Accepted 2021-07-19 00:00:00 ET · period of report 2021-07-15 · accession 0001209191-21-047261 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-07-19 | 2021-07-15 | LUNG | French Glendon E. III | Pres, CEO, Dir | M - OptEx | $2.20 | +4,375 | 1.23M | +0.4% | +$9,625 |
| DM | 2021-07-19 | 2021-07-15 | LUNG | French Glendon E. III | Pres, CEO, Dir | S - Sale+OE | $38.73 | -25.0K | 1.21M | -2% | -$968.2K |
| DMI | 2021-07-19 | 2021-07-15 | LUNG | French Glendon E. III | Pres, CEO, Dir | S - Sale+OE | $38.70 | -1,000 | 25.4K | -4% | -$38.7K |
| D | 2021-07-19 | 2021-07-15 | LUNG | French Glendon E. III | Pres, CEO, Dir | M - OptEx | $0.00 | -4,375 | 201.2K | -2% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-07-15 | M | A | 4,375 | $2.20 | 1,231,734 | D See footnote | — | — | (F5) The shares are directly held by the Glendon E. French III Children's Irrevocable Trust dated 11-17-98 for which the Reporting Person is a trustee. |
| 2 | Common | Common Stock | 2021-07-15 | S | D | 1,337 | $37.61 | 1,230,397 | D See footnote | — | — | (F2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.14 to $38.06, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. (F5) The shares are directly held by the Glendon E. French III Children's Irrevocable Trust dated 11-17-98 for which the Reporting Person is a trustee. |
| 3 | Common | Common Stock | 2021-07-15 | S | D | 11,163 | $38.86 | 1,219,234 | D See footnote | — | — | (F3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.20 to $39.18, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. (F5) The shares are directly held by the Glendon E. French III Children's Irrevocable Trust dated 11-17-98 for which the Reporting Person is a trustee. |
| 4 | Common | Common Stock | 2021-07-15 | S | D | 807 | $38.90 | 24,571 | I | — | — | (F6) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.75 to $39.10, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. |
| 5 | Common | Common Stock | 2021-07-15 | S | D | 93 | $37.53 | 25,478 | I | — | — | |
| 6 | Common | Common Stock | 2021-07-15 | S | D | 100 | $38.20 | 25,378 | I | — | — | |
| 7 | Common | Common Stock | 2021-07-15 | S | D | 12,500 | $38.73 | 1,206,734 | D | — | — | |
| 8 | Derivative | Employee Stock Option (right to buy) | 2021-07-15 | M | D | 4,375 | $0.00 | 201,249 | D | $2.20 · — to 2030-08-27 | 4,375 Common Stock | (F7) The shares subject to the option are immediately exercisable and vest in 48 equal monthly installments beginning on August 28, 2020, subject to the Reporting Person's continuous service through each such vesting date. |