Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| HeartBeam, Inc.BEAT · Entity 9039 | Director | October 02, 2026 | October 09, 2026 |
| Pulmonx CorpLUNG · Entity 2359 | Director | June 05, 2026 | June 09, 2026 |
| Tenon Medical, Inc.TNON · Entity 2063 | Director | July 31, 2026 | August 04, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
HeartBeam, Inc.
Report date October 02, 2026 · Filed October 09, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 125,000 |
Reported balance
After 2026-10-02 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-10-02 · Grant · Acquired 125,000 · Balance 125,000 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock upon vesting. F2: The RSUs were granted on October 2, 2026 under the Issuer's 2022 Equity Incentive Plan, as amended (the "Plan"), as an annual RSU award to non-employee directors. One hundred percent (100%) of the RSUs will vest on the earlier of October 2, 2027 or the date of the Issuer's next annual meeting of stockholders following the grant date, subject to the Reporting Person's continued service as a non-employee director through the vesting date. Vested RSUs will be settled in shares of common stock. RSUs do not expire. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 90,625 |
Reported balance
After 2026-10-02 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-10-02 · Grant · Acquired 90,625 · Balance 90,625 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock upon vesting. F3: Represents a special RSU award granted to the Reporting Person on October 2, 2026 under the Plan in connection with the suspension of cash retainers for the period of July 1, 2026 through December 31, 2026. One-half of the RSUs vested on the grant date, and the remaining RSUs will vest on January 1, 2027, subject to the Reporting Person's continued service as a director through the vesting date. All unvested RSUs will vest in full immediately prior to a Change in Control (as defined in the Plan), subject to the Reporting Person's continued service as a director through such date. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.44 · Expires 2036-10-02 | Direct | 125,000 |
Reported balance
After 2026-10-02 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-10-02 · Grant · Acquired 125,000 · Balance 125,000 F4: Represents a nonqualified stock option granted to the Reporting Person on October 2, 2026 under the Plan in connection with the Reporting Person's additional responsibilities as Chair of the Board. One-twelfth of the shares subject to the option vest on each monthly anniversary of July 1, 2026, such that 3/12ths of the shares subject to the option were vested on the grant date and the option will be fully vested on July 1, 2027, subject to the Reporting Person's continued service as a director through each vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock upon vesting.
F2: The RSUs were granted on October 2, 2026 under the Issuer's 2022 Equity Incentive Plan, as amended (the "Plan"), as an annual RSU award to non-employee directors. One hundred percent (100%) of the RSUs will vest on the earlier of October 2, 2027 or the date of the Issuer's next annual meeting of stockholders following the grant date, subject to the Reporting Person's continued service as a non-employee director through the vesting date. Vested RSUs will be settled in shares of common stock. RSUs do not expire.
F3: Represents a special RSU award granted to the Reporting Person on October 2, 2026 under the Plan in connection with the suspension of cash retainers for the period of July 1, 2026 through December 31, 2026. One-half of the RSUs vested on the grant date, and the remaining RSUs will vest on January 1, 2027, subject to the Reporting Person's continued service as a director through the vesting date. All unvested RSUs will vest in full immediately prior to a Change in Control (as defined in the Plan), subject to the Reporting Person's continued service as a director through such date.
F4: Represents a nonqualified stock option granted to the Reporting Person on October 2, 2026 under the Plan in connection with the Reporting Person's additional responsibilities as Chair of the Board. One-twelfth of the shares subject to the option vest on each monthly anniversary of July 1, 2026, such that 3/12ths of the shares subject to the option were vested on the grant date and the option will be fully vested on July 1, 2027, subject to the Reporting Person's continued service as a director through each vesting date.
Pulmonx Corp
Report date June 05, 2026 · Filed June 09, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 127,024 |
Reported balance
After 2026-06-05 transaction · row 1
1 source rowRow 1 · 2026-06-05 · Grant · Acquired 40,000 · Balance 127,024 F1: Represents grant of Restricted Stock Units ("RSU Grant") payable solely in common stock of the Issuer that vest on the earlier of (i) the one-year anniversary of the date of grant of June 5, 2026, or if such date is not a business day, then on the next business day, or (ii) the date of the Annual Meeting of the Stockholders for the year subsequent to the date such RSU Grant is made. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents grant of Restricted Stock Units ("RSU Grant") payable solely in common stock of the Issuer that vest on the earlier of (i) the one-year anniversary of the date of grant of June 5, 2026, or if such date is not a business day, then on the next business day, or (ii) the date of the Annual Meeting of the Stockholders for the year subsequent to the date such RSU Grant is made.
Tenon Medical, Inc.
Report date July 31, 2026 · Filed August 04, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 135,243 |
Reported balance
After 2026-07-31 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-07-31 · Exercise / conversion · Acquired 64,479 · Balance 135,243 F1: Represents conversion of 64,479 restricted stock units granted to the reporting person on October 13, 2025 into 64,479 shares of common stock of the Issuer on July 31, 2026. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-07-31 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-07-31 · Exercise / conversion · Disposed 64,479 · Balance 0 F1: Represents conversion of 64,479 restricted stock units granted to the reporting person on October 13, 2025 into 64,479 shares of common stock of the Issuer on July 31, 2026. F2: Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents conversion of 64,479 restricted stock units granted to the reporting person on October 13, 2025 into 64,479 shares of common stock of the Issuer on July 31, 2026.
F2: Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 02, 2026 Filed Oct 9, 2026 20:22 UTC | HeartBeam, Inc. BEAT · Entity 9039 | GrantStock Option (Right to Buy) · Derivative | 125,000 | $0.00 Strike: $0.44 | $0.00 |
DisclosureSEC source: 0001213900-26-108490 · ownership.xml · derivative · entry 3 Ferrari Richard · CIK 0001034413 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 shares Expires 2036-10-02 F4 · derivative.exercise_date: Represents a nonqualified stock option granted to the Reporting Person on October 2, 2026 under the Plan in connection with the Reporting Person's additional responsibilities as Chair of the Board. One-twelfth of the shares subject to the option vest on each monthly anniversary of July 1, 2026, such that 3/12ths of the shares subject to the option were vested on the grant date and the option will be fully vested on July 1, 2027, subject to the Reporting Person's continued service as a director through each vesting date. Read SEC document |
| October 02, 2026 Filed Oct 9, 2026 20:22 UTC | HeartBeam, Inc. BEAT · Entity 9039 | GrantRestricted Stock Units · Derivative | 90,625 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-26-108490 · ownership.xml · derivative · entry 2 Ferrari Richard · CIK 0001034413 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 90,625 Underlying: Common Stock · 90,625 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock upon vesting. F3 · derivative.exercise_date: Represents a special RSU award granted to the Reporting Person on October 2, 2026 under the Plan in connection with the suspension of cash retainers for the period of July 1, 2026 through December 31, 2026. One-half of the RSUs vested on the grant date, and the remaining RSUs will vest on January 1, 2027, subject to the Reporting Person's continued service as a director through the vesting date. All unvested RSUs will vest in full immediately prior to a Change in Control (as defined in the Plan), subject to the Reporting Person's continued service as a director through such date. F3 · derivative.expiration_date: Represents a special RSU award granted to the Reporting Person on October 2, 2026 under the Plan in connection with the suspension of cash retainers for the period of July 1, 2026 through December 31, 2026. One-half of the RSUs vested on the grant date, and the remaining RSUs will vest on January 1, 2027, subject to the Reporting Person's continued service as a director through the vesting date. All unvested RSUs will vest in full immediately prior to a Change in Control (as defined in the Plan), subject to the Reporting Person's continued service as a director through such date. Read SEC document |
| October 02, 2026 Filed Oct 9, 2026 20:22 UTC | HeartBeam, Inc. BEAT · Entity 9039 | GrantRestricted Stock Units · Derivative | 125,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-26-108490 · ownership.xml · derivative · entry 1 Ferrari Richard · CIK 0001034413 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock upon vesting. F2 · derivative.exercise_date: The RSUs were granted on October 2, 2026 under the Issuer's 2022 Equity Incentive Plan, as amended (the "Plan"), as an annual RSU award to non-employee directors. One hundred percent (100%) of the RSUs will vest on the earlier of October 2, 2027 or the date of the Issuer's next annual meeting of stockholders following the grant date, subject to the Reporting Person's continued service as a non-employee director through the vesting date. Vested RSUs will be settled in shares of common stock. RSUs do not expire. F2 · derivative.expiration_date: The RSUs were granted on October 2, 2026 under the Issuer's 2022 Equity Incentive Plan, as amended (the "Plan"), as an annual RSU award to non-employee directors. One hundred percent (100%) of the RSUs will vest on the earlier of October 2, 2027 or the date of the Issuer's next annual meeting of stockholders following the grant date, subject to the Reporting Person's continued service as a non-employee director through the vesting date. Vested RSUs will be settled in shares of common stock. RSUs do not expire. Read SEC document |
| July 31, 2026 Filed Aug 4, 2026 20:50 UTC | Tenon Medical, Inc. TNON · Entity 2063 | Exercise / conversionRestricted Stock Units · Derivative | 64,479 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-26-085243 · ownership.xml · derivative · entry 2 Ferrari Richard · CIK 0001034413 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 64,479 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Represents conversion of 64,479 restricted stock units granted to the reporting person on October 13, 2025 into 64,479 shares of common stock of the Issuer on July 31, 2026. F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer. F1 · derivative.exercise_date: Represents conversion of 64,479 restricted stock units granted to the reporting person on October 13, 2025 into 64,479 shares of common stock of the Issuer on July 31, 2026. F1 · derivative.expiration_date: Represents conversion of 64,479 restricted stock units granted to the reporting person on October 13, 2025 into 64,479 shares of common stock of the Issuer on July 31, 2026. Read SEC document |
| July 31, 2026 Filed Aug 4, 2026 20:50 UTC | Tenon Medical, Inc. TNON · Entity 2063 | Exercise / conversionCommon Stock | 64,479 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-26-085243 · ownership.xml · nonDerivative · entry 1 Ferrari Richard · CIK 0001034413 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 135,243 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Represents conversion of 64,479 restricted stock units granted to the reporting person on October 13, 2025 into 64,479 shares of common stock of the Issuer on July 31, 2026. Read SEC document |
| June 05, 2026 Filed Jun 9, 2026 22:01 UTC | Pulmonx Corp LUNG · Entity 2359 | GrantCommon Stock | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001034413-26-000002 · form4-06092026_100606.xml · nonDerivative · entry 1 Ferrari Richard · CIK 0001034413 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 127,024 F1 · shares: Represents grant of Restricted Stock Units ("RSU Grant") payable solely in common stock of the Issuer that vest on the earlier of (i) the one-year anniversary of the date of grant of June 5, 2026, or if such date is not a business day, then on the next business day, or (ii) the date of the Annual Meeting of the Stockholders for the year subsequent to the date such RSU Grant is made. Read SEC document |
| April 16, 2026 Filed Apr 17, 2026 00:47 UTC | HeartBeam, Inc. BEAT · Entity 9039 | PurchaseCommon Stock | 62,500 | $0.80 | $50,000.00 |
DisclosureSEC source: 0001213900-26-044835 · ownership.xml · nonDerivative · entry 1 Ferrari Richard · CIK 0001034413 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 291,636 F1 · shares: These shares were purchased in connection with the Registrant's underwritten public offering of 12,500,000 shares of common stock. Titan Partners, a division of American Capital Partners, acted as the sole bookrunner for the offering, which priced on April 14, 2026, and closed on April 16, 2026. Read SEC document |
| April 16, 2026 Filed Apr 24, 2026 20:05 UTC Amendment | HeartBeam, Inc. BEAT · Entity 9039 | PurchaseCommon Stock | 57,500 | $0.80 | $46,000.00 |
DisclosureSEC source: 0001213900-26-047514 · ownership.xml · nonDerivative · entry 1 Ferrari Richard · CIK 0001034413 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 286,636 F1 · shares: These shares were purchased in connection with the Registrant's underwritten public offering of 12,500,000 shares of common stock. Titan Partners, a division of American Capital Partners, acted as the sole bookrunner for the offering, which priced on April 14, 2026, and closed on April 16, 2026. This amendment restates the Reporting Person's original Form 4 filed on April 16, 2026, solely to correct an inadvertent error in the number of shares of common stock reported as acquired and the corresponding total beneficial ownership. The original filing reported the acquisition of 62,500 shares of common stock. The correct number of shares acquired was 57,500 shares of common stock. No other changes have been made to the original filing. Read SEC document |
| February 09, 2026 Filed Mar 23, 2026 21:38 UTC | HeartBeam, Inc. BEAT · Entity 9039 | GrantCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-26-033045 · ownership.xml · nonDerivative · entry 1 Ferrari Richard · CIK 0001034413 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 229,136 F1 · ownership.direct: These securities are restricted stock units (RSUs). Granted on February 9, 2026 (the "Special RSU"), one half of the total number of shares of common stock ("Shares") subject to the Special RSU shall vest on March 31, 2026, the three-month anniversary of the vesting commencement date beginning on January 1, 2026, and the remaining Shares subject to the Special RSU shall vest on June 30, 2026, the six-month anniversary of the vesting commencement date. These RSUs have been issued from the Company's 2022 Equity Incentive Plan. Read SEC document |
| January 01, 2026 Filed Jan 6, 2026 01:51 UTC | Tenon Medical, Inc. TNON · Entity 2063 | Exercise / conversionRestricted Stock Units · Derivative | 64,479 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-26-001470 · ownership.xml · derivative · entry 2 Ferrari Richard · CIK 0001034413 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 64,479 Underlying: Common Stock · 64,479 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Represents conversion of 64,479 restricted stock units ("RSUs") granted to the reporting person on October 13, 2025 into 64,479 shares of common stock of the Issuer on January 1, 2026. F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer. F1 · derivative.exercise_date: Represents conversion of 64,479 restricted stock units ("RSUs") granted to the reporting person on October 13, 2025 into 64,479 shares of common stock of the Issuer on January 1, 2026. F1 · derivative.expiration_date: Represents conversion of 64,479 restricted stock units ("RSUs") granted to the reporting person on October 13, 2025 into 64,479 shares of common stock of the Issuer on January 1, 2026. Read SEC document |
| January 01, 2026 Filed Jan 6, 2026 01:51 UTC | Tenon Medical, Inc. TNON · Entity 2063 | Exercise / conversionCommon Stock | 64,478 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-26-001470 · ownership.xml · nonDerivative · entry 1 Ferrari Richard · CIK 0001034413 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 70,764 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Represents conversion of 64,479 restricted stock units ("RSUs") granted to the reporting person on October 13, 2025 into 64,479 shares of common stock of the Issuer on January 1, 2026. Read SEC document |
| October 13, 2025 Filed Oct 15, 2025 21:09 UTC | Tenon Medical, Inc. TNON · Entity 2063 | GrantRestricted Stock Units · Derivative | 128,957 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-25-099212 · ownership.xml · derivative · entry 1 Ferrari Richard · CIK 0001034413 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 128,957 Underlying: Common Stock · 128,957 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer. F2 · derivative.exercise_date: Fifty percent (50%) of the total number of restricted stock units shall vest and automatically convert into shares of common stock of the Issuer (on one-for-one basis) on January 1, 2026 and the remaining fifty percent (50%) shall vest and automatically convert into the shares of common stock of the Issuer (on one-for-one basis) on July 31, 2026. F2 · derivative.expiration_date: Fifty percent (50%) of the total number of restricted stock units shall vest and automatically convert into shares of common stock of the Issuer (on one-for-one basis) on January 1, 2026 and the remaining fifty percent (50%) shall vest and automatically convert into the shares of common stock of the Issuer (on one-for-one basis) on July 31, 2026. Read SEC document |
| June 12, 2025 Filed Jun 13, 2025 21:38 UTC | Pulmonx Corp LUNG · Entity 2359 | SaleCommon Stock | 8,000 | $3.16 | $25,280.00 |
DisclosureSEC source: 0001415889-25-017271 · form4-06132025_090602.xml · nonDerivative · entry 1 Ferrari Richard · CIK 0001034413 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 87,024 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.13 to $3.20, 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. Read SEC document |
| June 02, 2025 Filed Jun 4, 2025 22:12 UTC | Pulmonx Corp LUNG · Entity 2359 | GrantCommon Stock | 37,153 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-25-015649 · form4-06042025_100609.xml · nonDerivative · entry 1 Ferrari Richard · CIK 0001034413 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 95,024 F1 · shares: Represents grant of Restricted Stock Units ("RSU Grant") payable solely in common stock of the Issuer that vest on the earlier of (i) the one-year anniversary of the date of grant of June 2, 2025, or if such date is not a business day, then on the next business day, or (ii) the date of the Annual Meeting of the Stockholders for the year subsequent to the date such RSU Grant is made. Read SEC document |
| February 14, 2025 Filed Feb 22, 2025 01:00 UTC | HeartBeam, Inc. BEAT · Entity 9039 | PurchaseCommon Stock | 29,412 | $1.70 | $50,000.40 |
DisclosureSEC source: 0001628280-25-007240 · wk-form4_1740186016.xml · nonDerivative · entry 1 Ferrari Richard · CIK 0001034413 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 179,136 F1 · shares: These shares were purchased in the Issuers offering which closed on February 14, 2025 Read SEC document |
| June 12, 2024 Filed Jun 20, 2024 19:23 UTC | HeartBeam, Inc. BEAT · Entity 9039 | GrantCommon Stock | 44,247 | $0.00 | $0.00 |
DisclosureSEC source: 0001779372-24-000008 · wk-form4_1718911409.xml · nonDerivative · entry 1 Ferrari Richard · CIK 0001034413 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 149,724 F1 · ownership.direct: These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock of the Issuer. 100% of the RSUs shall vest on the earlier of June 12, 2025 or the date of the Issuer's 2025 annual meeting of stockholders, subject to the Reporting Person continuing to be an Outside Director (as defined in the Issuer's 2022 Equity Inventive Plan) through the applicable vesting date. Read SEC document |
| June 03, 2024 Filed Jun 5, 2024 22:04 UTC | Pulmonx Corp LUNG · Entity 2359 | GrantCommon Stock | 15,216 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-015641 · form4-06052024_100636.xml · nonDerivative · entry 1 Ferrari Richard · CIK 0001034413 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 57,871 F1 · shares: Represents grant of Restricted Stock Units ("RSU Grant") payable solely in common stock of the Issuer that vest on the earlier of (i) the one-year anniversary of the date of grant of June 3, 2024, or if such date is not a business day, then on the next business day, or (ii) the date of the Annual Meeting of the Stockholders for the year subsequent to the date such RSU Grant is made. Read SEC document |
| July 13, 2023 Filed Jul 18, 2023 14:37 UTC | HeartBeam, Inc. BEAT · Entity 9039 | GrantCommon Stock | 31,948 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-23-057632 · ownership.xml · nonDerivative · entry 1 Ferrari Richard · CIK 0001034413 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 105,477 F1 · shares: These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock of the Issuer. 100% of the RSUs shall vest on the earlier of July 13, 2024 or the date of the Issuer's 2024 annual meeting of stockholders, subject to the Reporting Person continuing to be an Outside Director (as defined in the Issuer's 2022 Equity Inventive Plan) through the applicable vesting date. Read SEC document |
| June 01, 2023 Filed Jun 2, 2023 22:29 UTC | Pulmonx Corp LUNG · Entity 2359 | GrantCommon Stock | 12,620 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-033986 · doc4.xml · nonDerivative · entry 1 Ferrari Richard · CIK 0001034413 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 42,655 F1 · shares: Represents grant of Restricted Stock Units ("RSU Grant") payable solely in common stock of the Issuer that vest on the earlier of (i) the one-year anniversary of the date of grant of June 1, 2023, or if such date is not a business day, then on the next business day, or (ii) the date of the Annual Meeting of the Stockholders for the year subsequent to the date such RSU Grant is made. Read SEC document |
| May 22, 2023 Filed May 24, 2023 23:37 UTC | Tenon Medical, Inc. TNON · Entity 2063 | Exercise / conversionCommon Stock | 91,300 | $1.62 | $147,906.00 |
DisclosureSEC source: 0001575872-23-000848 · ownership.xml · nonDerivative · entry 1 Ferrari Richard · CIK 0001034413 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 183,514 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: These shares of common stock were issued pursuant to the vesting of Restricted Stock Units. F1 · kind: These shares of common stock were issued pursuant to the vesting of Restricted Stock Units. F2 · balance_after: Includes 92,214 shares held by the Ferrari Family Trust for which Richard Ferrari is trustee. Read SEC document |
| November 08, 2022 Filed Nov 10, 2022 23:02 UTC | Pulmonx Corp LUNG · Entity 2359 | PurchaseCommon Stock | 100 | $5.29 | $529.00 |
DisclosureSEC source: 0001209191-22-056449 · doc4.xml · nonDerivative · entry 2 Ferrari Richard · CIK 0001034413 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,035 Read SEC document |
| November 08, 2022 Filed Nov 10, 2022 23:02 UTC | Pulmonx Corp LUNG · Entity 2359 | PurchaseCommon Stock | 5,338 | $5.31 | $28,344.78 |
DisclosureSEC source: 0001209191-22-056449 · doc4.xml · nonDerivative · entry 1 Ferrari Richard · CIK 0001034413 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,935 Read SEC document |
| July 15, 2022 Filed Jul 20, 2022 01:32 UTC | HeartBeam, Inc. BEAT · Entity 9039 | GrantCommon Stock | 73,529 | $0.00 | $0.00 |
DisclosureSEC source: 0001779372-22-000030 · wf-form4_165828074027357.xml · nonDerivative · entry 1 Ferrari Richard · CIK 0001034413 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,529 F1 · shares: These securities are restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of Common Stock of the Issuer. 100% of the RSUs shall vest on the earlier of July 15, 2023 or the date of the Issuer's 2023 annual meeting of stockholders, subject to the Reporting Person continuing to be an Outside Director (as defined in the Issuer's 2022 Equity Inventive Plan) through the applicable vesting date. Read SEC document |
| June 01, 2022 Filed Jun 7, 2022 21:44 UTC | Pulmonx Corp LUNG · Entity 2359 | GrantCommon Stock | 5,600 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-034882 · doc4.xml · nonDerivative · entry 1 Ferrari Richard · CIK 0001034413 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,597 F1 · shares: Represents grant of Restricted Stock Units ("RSU Grant") payable solely in common stock of the Issuer that vest on the earlier of (i) the one-year anniversary of the date of grant of June 1, 2022, or (ii) the date of the Annual Meeting of the Stockholders for the year subsequent to the date such RSU Grant is made. Read SEC document |
| November 11, 2021 Filed Nov 16, 2021 02:58 UTC | HeartBeam, Inc. BEAT · Entity 9039 | Exercise / conversionCommon Stock | 65,653 | $4.20 | $275,742.60 |
DisclosureSEC source: 0001213900-21-059714 · ownership.xml · nonDerivative · entry 1 FERRARI RICHARD M · CIK 0001034413 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 65,653 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Represents shares purchased from conversion of convertible note, principal and interest of $275,743. F2 · ownership.nature: The underlying common stock is held by the Ferrari Living Trust, of which the Reporting Person is the trustee. Read SEC document |
| June 01, 2021 Filed Jun 12, 2021 00:12 UTC | Pulmonx Corp LUNG · Entity 2359 | GrantCommon Stock | 2,810 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-040067 · doc4.xml · nonDerivative · entry 1 FERRARI RICHARD M · CIK 0001034413 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,997 F1 · shares: Represents grant of Restricted Stock Units payable solely in common stock of the Issuer that will vest on the one-year anniversary of the date of grant of June 1, 2021. Read SEC document |
| October 05, 2020 Filed Oct 5, 2020 20:16 UTC | Pulmonx Corp LUNG · Entity 2359 | ConversionSeries G-1 Preferred Stock · Derivative | 3,030 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-20-014287 · wf-form4_160192897069111.xml · derivative · entry 13 FERRARI RICHARD M · CIK 0001034413 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,030 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. Read SEC document |
| October 05, 2020 Filed Oct 5, 2020 20:16 UTC | Pulmonx Corp LUNG · Entity 2359 | ConversionSeries E-1 Preferred Stock · Derivative | 65,833 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-20-014287 · wf-form4_160192897069111.xml · derivative · entry 12 FERRARI RICHARD M · CIK 0001034413 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 65,833 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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 · ownership.nature: 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 Read SEC document |
| October 05, 2020 Filed Oct 5, 2020 20:16 UTC | Pulmonx Corp LUNG · Entity 2359 | ConversionSeries D-1 Preferred Stock · Derivative | 126,603 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-20-014287 · wf-form4_160192897069111.xml · derivative · entry 11 FERRARI RICHARD M · CIK 0001034413 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 126,603 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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 · ownership.nature: 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 Read SEC document |
| October 05, 2020 Filed Oct 5, 2020 20:16 UTC | Pulmonx Corp LUNG · Entity 2359 | ConversionSeries C-1 Preferred Stock · Derivative | 327,560 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-20-014287 · wf-form4_160192897069111.xml · derivative · entry 10 FERRARI RICHARD M · CIK 0001034413 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 327,560 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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 · ownership.nature: 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 Read SEC document |
| October 05, 2020 Filed Oct 5, 2020 20:16 UTC | Pulmonx Corp LUNG · Entity 2359 | ConversionSeries B-1 Preferred Stock · Derivative | 675,227 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-20-014287 · wf-form4_160192897069111.xml · derivative · entry 9 FERRARI RICHARD M · CIK 0001034413 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 675,227 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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 · ownership.nature: 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 Read SEC document |
| October 05, 2020 Filed Oct 5, 2020 20:16 UTC | Pulmonx Corp LUNG · Entity 2359 | ConversionSeries A-1 Preferred Stock · Derivative | 26,266 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-20-014287 · wf-form4_160192897069111.xml · derivative · entry 8 FERRARI RICHARD M · CIK 0001034413 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 26,266 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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 · ownership.nature: 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 Read SEC document |
| October 05, 2020 Filed Oct 5, 2020 20:16 UTC | Pulmonx Corp LUNG · Entity 2359 | PurchaseCommon Stock | 13,157 | $19.00 | $249,983.00 |
DisclosureSEC source: 0001628280-20-014287 · wf-form4_160192897069111.xml · nonDerivative · entry 7 FERRARI RICHARD M · CIK 0001034413 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,187 Read SEC document |
| October 05, 2020 Filed Oct 5, 2020 20:16 UTC | Pulmonx Corp LUNG · Entity 2359 | ConversionCommon Stock | 3,030 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001628280-20-014287 · wf-form4_160192897069111.xml · nonDerivative · entry 6 FERRARI RICHARD M · CIK 0001034413 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,030 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 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. Read SEC document |
| October 05, 2020 Filed Oct 5, 2020 20:16 UTC | Pulmonx Corp LUNG · Entity 2359 | ConversionCommon Stock | 65,833 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001628280-20-014287 · wf-form4_160192897069111.xml · nonDerivative · entry 5 FERRARI RICHARD M · CIK 0001034413 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,232,321 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 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 · ownership.nature: 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 Read SEC document |
| October 05, 2020 Filed Oct 5, 2020 20:16 UTC | Pulmonx Corp LUNG · Entity 2359 | ConversionCommon Stock | 126,603 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001628280-20-014287 · wf-form4_160192897069111.xml · nonDerivative · entry 4 FERRARI RICHARD M · CIK 0001034413 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,166,488 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 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 · ownership.nature: 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 Read SEC document |
| October 05, 2020 Filed Oct 5, 2020 20:16 UTC | Pulmonx Corp LUNG · Entity 2359 | ConversionCommon Stock | 327,560 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001628280-20-014287 · wf-form4_160192897069111.xml · nonDerivative · entry 3 FERRARI RICHARD M · CIK 0001034413 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,039,885 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 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 · ownership.nature: 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 Read SEC document |
| October 05, 2020 Filed Oct 5, 2020 20:16 UTC | Pulmonx Corp LUNG · Entity 2359 | ConversionCommon Stock | 675,227 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001628280-20-014287 · wf-form4_160192897069111.xml · nonDerivative · entry 2 FERRARI RICHARD M · CIK 0001034413 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 712,325 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 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 · ownership.nature: 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 Read SEC document |
| October 05, 2020 Filed Oct 5, 2020 20:16 UTC | Pulmonx Corp LUNG · Entity 2359 | ConversionCommon Stock | 26,266 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001628280-20-014287 · wf-form4_160192897069111.xml · nonDerivative · entry 1 FERRARI RICHARD M · CIK 0001034413 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 37,098 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 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 · ownership.nature: 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 Read SEC document |
| September 30, 2020 Filed Oct 2, 2020 20:11 UTC | Pulmonx Corp LUNG · Entity 2359 | GrantEmployee Stock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $19.00 | $0.00 |
DisclosureSEC source: 0001628280-20-014195 · wf-form4_160166948255724.xml · derivative · entry 1 FERRARI RICHARD M · CIK 0001034413 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2030-09-29 F1 · derivative.exercise_date: The shares subject to the option vest in 36 equal consecutive monthly installments commencing on September 30, 2020, subject to the Reporting Person's continuous service through each such vesting date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.