Pulmonx Corp
For the period ended Dec 31, 2023. Filed Feb 27, 2024.
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A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.
FY2023 · Filed Feb 27, 2024
LUNG$2.800.0%Stored close · as of Nov 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 15. Exhibits and Financial Statement Schedules
(a) The following documents are filed as part of this Annual Report on Form 10-K:
(1) FINANCIAL STATEMENTS
Our consolidated financial statements are listed in the “Index to the Financial Statements” under Part II, Item 8, “Financial Statements and Supplementary Data” of this Annual Report on Form 10-K.
(2) FINANCIAL STATEMENT SCHEDULES
All schedules to the financial statements are omitted because they are not applicable, not material or the required information is shown in Part II, Item 8, “Financial Statements and Supplementary Data” of this Annual Report on Form 10-K.
(3) EXHIBITS
The documents listed in the Exhibit Index of this Annual Report on Form 10-K are incorporated by reference or are filed with this Annual Report on Form 10-K, in each case as indicated therein.
EXHIBIT INDEX
| Exhibit Number · Description of Document · Form · File No. · Exhibit · Filing Date · Filed Herewith | |||||
|---|---|---|---|---|---|
| 3.1 | Amended and Restated Certificate of Incorporation of Pulmonx Corporation. | 8-K | 001-39562 | 3.1 | October 5, 2020 |
| 3.2 | Amended and Restated Bylaws of Pulmonx Corporation. | S-1/A | 333-248635 | 3.4 | September 24, 2020 |
| 4.1 | Form of common stock certificate of Pulmonx Corporation. | S-1/A | 333-248635 | 4.1 | September 24, 2020 |
| 4.2 | Description of common stock of Pulmonx Corporation. | 10-K | 001-39562 | 4.3 | March 15, 2021 |
| 10.1+ | Amended and Restated 2010 Stock Plan. | S-8 | 333-249187 | 99.1 | October 1, 2020 |
| 10.2+ | Forms of Notice of Stock Option Grant, Option Agreement, and Exercise Notice under Amended and Restated 2010 Stock Plan. | S-8 | 333-249187 | 99.2 | October 1, 2020 |
| 10.3+ | Amended and Restated 2020 Stock Plan. | S-8 | 333-249187 | 99.3 | October 1, 2020 |
| 10.4+ | Forms of Notice of Stock Option Grant, Option Agreement, and Exercise Notice under Amended and Restated 2020 Stock Plan. | S-8 | 333-249187 | 99.4 | October 1, 2020 |
| 10.5+ | 2020 Equity Incentive Plan. | S-8 | 333-249187 | 99.5 | October 1, 2020 |
| 10.6+ | Forms of Option Agreement and Notice of Stock Option Grant under 2020 Equity Incentive Plan. | S-8 | 333-249187 | 99.6 | October 1, 2020 |
| 10.7+ | Form of Restricted Stock Unit Award Agreement under 2020 Equity Incentive Plan. | S-8 | 333-249187 | 99.7 | October 1, 2020 |
| 10.8+ | 2020 Employee Stock Purchase Plan. | S-8 | 333-249187 | 99.8 | October 1, 2020 |
| 10.9 | Form of Indemnification Agreement by and between Pulmonx Corporation and each of its directors and executive officers. | S-1/A | 333-248635 | 10.9 | September 24, 2020 |
| 10.10+ | Executive Employment Agreement, by and between Pulmonx Corporation and Glendon E. French, dated December 10, 2014. | S-1/A | 333-248635 | 10.10 | September 24, 2020 |
| 10.11+ | Offer Letter Agreement, by and between Pulmonx Corporation and Geoffrey Beran Rose, dated December 11, 2014. | S-1/A | 333-248635 | 10.11 | September 24, 2020 |
| 10.12+ | Offer Letter Agreement, by and between Pulmonx Corporation and Derrick Sung, Ph.D., dated March 12, 2019. | S-1/A | 333-248635 | 10.12 | September 24, 2020 |
| 10.13+ | Offer Letter Agreement, by and between Pulmonx Corporation and David Lehman, dated September 15, 2020 | 10-K | 001-39562 | 10.13 | March 15, 2021 |
| 10.14 | Office Lease, by and between Pulmonx Corporation and HCP LS Redwood City, LLC, dated September 4, 2009. | S-1/A | 333-248635 | 10.18 | September 24, 2020 |
| 10.15 | First Amendment to Office Lease, by and between Pulmonx Corporation and HCP LS Redwood City, LLC, dated October 3, 2014. | S-1/A | 333-248635 | 10.19 | September 24, 2020 |
| 10.16 | Second Amendment to Office Lease, by and between Pulmonx Corporation and HCP LS Redwood City, LLC, dated November 7, 2019. | S-1/A | 333-248635 | 10.20 | September 24, 2020 |
| 10.17 | Sublease, by and between Pulmonx Corporation and Genomic Health, Inc., dated April 8, 2020. | S-1/A | 333-248635 | 10.21 | September 24, 2020 |
| 10.18 | First Amendment to Sublease Agreement, by and between Pulmonx Corporation and Genomic Health, Inc., dated September 10, 2020. | S-1/A | 333-248635 | 10.22 | September 24, 2020 |
| 10.19 | Intellectual Property Security Agreement, by and between Pulmonx Corporation and Canadian Imperial Bank of Commerce, dated February 20, 2020. | S-1/A | 333-248635 | 10.25 | September 24, 2020 |
| 10.20 | Note Purchase Agreement and Form of 2020 Note, by and between Pulmonx Corporation and the purchasers of the 2020 Notes, dated April 17, 2020. | S-1/A | 333-248635 | 10.26 | September 24, 2020 | |
| 10.21+ | Pulmonx Corporation Severance and Change in Control Plan and related participation agreement. | S-1/A | 333-248635 | 10.27 | September 28, 2020 | |
| 10.22 | Second Amendment and Waiver to Loan and Security Agreement, by and between Pulmonx Corporation and Canadian Imperial Bank of Commerce, dated December 28, 2020. | 10-Q | 001-39562 | 10.1 | May 12, 2021 | |
| 10.23 | Amended and Restated Loan and Security Agreement, by and between Pulmonx Corporation and Canadian Imperial Bank Commerce, dated March 29, 2021. | 10-Q | 001-39562 | 10.2 | May 12, 2021 | |
| 10.24 | First Amendment to Amended and Restated Loan and Security Agreement, by and between Pulmonx Corporation and Canadian Imperial Bank of Commerce, dated June 17, 2021. | 10-Q | 001-39562 | 10.1 | August 10, 2021 | |
| 10.25 | Second Amendment to Amended and Restated Loan and Security Agreement, by and between Pulmonx Corporation and Canadian Imperial Bank of Commerce, dated October 21, 2021. | 10-Q | 001-39562 | 10.1 | November 9, 2021 | |
| 10.26 | Third Amendment to Amended and Restated Loan and Security Agreement, by and between Pulmonx Corporation and Canadian Imperial Bank of Commerce, dated October 31, 2022. | 10-K | 001-39562 | 10.27 | March 1, 2023 | |
| 10.27+ | Pulmonx Corporation Amended and Restated Non-Employee Director Compensation Policy. | 10-Q | 001-39562 | 10.1 | August 4, 2023 | |
| 10.28 | Second Amendment to Sublease, by and between Pulmonx Corporation and Genomic Health, Inc., dated April 18, 2023. | 10-Q | 001-39562 | 10.2 | August 4, 2023 | |
| 10.29+ | Consulting Agreement, dated November 1, 2023, by and between Pulmonx Corporation and Derrick Sung. | 10-Q | 001-39562 | 10.1 | November 3, 2023 | |
| 10.30+ | Pulmonx Corporation Amended and Restated Non-Employee Director Compensation Policy. | X | ||||
| 21.1 | List of Subsidiaries of Registrant. | 10-K | 001-39562 | 21.1 | March 1, 2023 | |
| 23.1 | Consent of BDO USA, P.C., independent registered public accounting firm. | X | ||||
| 24.1 | Power of Attorney (included on signature page hereto). | X |
| 31.1 | Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X |
| 31.2 | Certification of Interim Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X |
| 32.1* | Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | X |
| 32.2* | Certification of Interim Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | X |
| 97.1 | Pulmonx Corporation Incentive Compensation Recoupment Policy. | X |
| 101.INS | Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document | X |
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document | X |
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document | X |
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document | X |
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document | X |
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document | X |
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) | X |
- Indicates management contract or compensatory plan
- The certifications attached as Exhibits 32.1 and 32.2 accompanying this Annual Report on Form 10-K are not deemed filed with the SEC and are not to be incorporated by reference into any filing of the Company under the Securities Act or the Exchange Act whether made before or after the date of this Annual Report on Form 10-K, irrespective of any general incorporation language contained in such filing.
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