12/10/2025 | Press release | Distributed by Public on 12/10/2025 18:00
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FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | |||
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1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Employee Stock Option (right to buy) | (2) | 06/24/2030 | Common Stock | 1,383(3) | $1.4 | D | |
| Employee Stock Option (right to buy) | (2) | 08/27/2030 | Common Stock | 20,624(3) | $2.2 | D | |
| Employee Stock Option (right to buy) | (2) | 05/31/2031 | Common Stock | 26,600 | $43.4 | D | |
| Employee Stock Option (right to buy) | (4) | 02/28/2032 | Common Stock | 43,000 | $26.56 | D | |
| Employee Stock Option (right to buy) | (5) | 02/28/2033 | Common Stock | 54,000 | $11.48 | D | |
| Employee Stock Option (right to buy) | (6) | 02/28/2034 | Common Stock | 31,600 | $9.3 | D | |
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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Radhakrishnan Srikanth C/O PULMONX CORPORATION 700 CHESAPEAKE DRIVE REDWOOD CITY, CA 94063 |
Chief Science &Techn. Officer | |||
| /s/ David Aaron Lehman, Attorney-in-Fact | 12/10/2025 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | Includes 149,227 shares of the Issuer's common stock underlying Restricted Stock Units payable solely in common stock of the Issuer. |
| (2) | Fully vested. |
| (3) | The number of shares reported reflects the shares remaining outstanding as of December 3, 2025 under this option grant. |
| (4) | The shares subject to this option vest in equal monthly installments over the four-year period from the grant date of March 1, 2022. |
| (5) | The shares subject to this option vest in equal monthly installments over the four-year period from the grant date of March 1, 2023. |
| (6) | The shares subject to this option vest in equal monthly installments over the four-year period from the grant date of March 1, 2024. |