Pulmonx Corp
For the period ended Sep 30, 2024. Filed Nov 1, 2024.
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Sep 30, 2024 · Filed Nov 1, 2024
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Item 5. Other Information
Insider Trading Arrangements
The following discussion includes trading arrangements adopted orterminated by our directors and officers during the three months ended September 30, 2024.
On July 7, 2024, Geoffrey Beran Rose, our Chief Commercial Officer, terminated his trading plan which was adopted on May 24, 2023. The trading plan was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act. The trading plan provided for the potential sale of up to 56,855 shares of our common stock and was set to expire on August 20, 2024, or earlier if all transactions under the trading plan were completed or if the trading plan otherwise terminated according to its terms.
On August 26, 2024, Mr. Rose adopted a new Rule 10b5-1 trading arrangement intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act for the sale of up to 41,200 shares of our common stock. The trading arrangement will expire on October 31, 2025, or earlier if all transactions under the trading arrangement are completed or if the trading arrangement is otherwise terminated according to its terms.
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