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Original filing (PDF)20250808171417NAL0002724483001
PULMONX CORPORATION
Form 5500
FILING_RECEIVED
PULMONX 401(K) PROFIT SHARING PLAN
401(k) retirement plan
Active participants
229
Accounts w/ balance
196
Plan assets (EOY)
$21.0M
Net assets (EOY)
$21.0M
How this plan invests
This plan
24 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
95
/ 100
Grade A
Top-tier plan health
Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.
Compliance & disclosures
100
Concentration risk
100
Total plan cost
80
Vendor stack
100
Participation health
100
Knocking points off
- 42 bps in Schedule C fees — modestly above peer band of 29 bps.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for PULMONX CORPORATION.
Plan sponsor
Name
PULMONX CORPORATION
EIN
77-0424412
Address
700 CHESAPEAKE DR. · REDWOOD CITY, CA · 94063
Phone
(650) 268-4462
Industry
Manufacturingsee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
001
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-08-08
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2T · Default investment account (QDIA)
3B · Covers self-employed individuals
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
PENSION ASSURANCE LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
4 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY | — | GREENWOOD VILLAGE, CO | RECORDKEEPER | $66K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| TRUIST INSURANCE HOLDINGS LLC | — | CHARLOTTE, NC | INVESTMENT ADVISOR | $10K | — |
Broker
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| CAMBRIDGE INVESTMENT RESEARCH INC | — | FAIRFIELD, IA | BROKER/ADVISER | $0 | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ADVISORY GROUP, LLC | — | GREENWOOD VILLAGE, CO | INVESTMENT MGMT | $12K | — |
Investments
24 direct securities· $21.0M(100% of reported assets)
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| Fidelity 500 Index Mutual Fund | — | — | — | $3.3M | 15.6% | |
| Key Guaranteed Portfolio Fund Fully Benefit-Responsive Investment Contract | — | — | — | $2.3M | 10.9% | |
| American Funds 2030 Target Date Retire R6 Mutual Fund | — | — | — | $2.2M | 10.4% | |
| American Funds 2035 Target Date Retire R6 Mutual Fund | — | — | — | $2.0M | 9.6% | |
| American Funds 2045 Target Date Retire R6 Mutual Fund | — | — | — | $1.6M | 7.7% | |
| AB Large Cap Growth Z Mutual Fund | — | — | — | $1.2M | 5.6% | |
| Hartford International Opportunities R6 Mutual Fund | — | — | — | $1.2M | 5.5% | |
| American Funds 2040 Target Date Retire R6 Mutual Fund | — | — | — | $1.1M | 5.3% | |
| Fidelity Small Cap Index Mutual Fund | — | — | — | $1.0M | 5.0% | |
| Fidelity Mid Cap Index Mutual Fund | — | — | — | $993K | 4.7% | |
| American Funds 2050 Target Date Retire R6 Mutual Fund | — | — | — | $924K | 4.4% | |
| American Funds 2025 Target Date Retire R6 Mutual Fund | — | — | — | $657K | 3.1% | |
| JPMorgan Small Cap Growth R6 Mutual Fund | — | — | — | $515K | 2.5% | |
| Eaton Vance Atlanta Capital Smid-Cap R6 Mutual Fund | — | — | — | $377K | 1.8% | |
| Participant Loans to participants, bearing interest from 4.25% to 9.50% | — | — | — | $368K | 1.8% | |
| American Funds 2055 Target Date Retire R6 Mutual Fund | — | — | — | $277K | 1.3% | |
| American Funds 2015 Target Date Retire R6 Mutual Fund | — | — | — | $263K | 1.3% | |
| Cohen & Steers Real Estate Securities Z Mutual Fund | — | — | — | $245K | 1.2% | |
| Pioneer Equity Income K Mutual Fund | — | — | — | $235K | 1.1% | |
| American Funds 2060 Target Date Retire R6 Mutual Fund | — | — | — | $96K | 0.5% | |
| American Funds 2020 Target Date Retire R6 Mutual Fund | — | — | — | $74K | 0.4% | |
| American Century Mid Cap Value R6 Mutual Fund | — | — | — | $43K | 0.2% | |
| American Funds 2065 Target Date Retire R6 Mutual Fund | — | — | — | $32K | 0.2% | |
| Allspring Special Small Cap Value R6 Mutual Fund | — | — | — | $25K | 0.1% |