Filing Details
- Accession Number:
- 0001094891-16-000587
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-08-25 15:10:08
- Reporting Period:
- 2016-08-23
- Filing Date:
- 2016-08-25
- Accepted Time:
- 2016-08-25 15:10:08
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1624326 | Pavmed Inc. | PAVM | Surgical & Medical Instruments & Apparatus (3841) | 471214177 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1665074 | Lishan Aklog | One Grand Central Place Suite 4600 New York NY 10165 | Chairman And Ceo | Yes | Yes | Yes | No |
| 1665111 | Hcfp/Capital Partners Iii Llc | One Grand Central Place Suite 4600 New York NY 10165 | No | No | Yes | No | |
| 1665114 | Pavilion Venture Partners Llc | One Grand Central Place Suite 4600 New York NY 10165 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2016-08-23 | 200 | $14.05 | 16,600 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2016-08-23 | 800 | $14.25 | 17,400 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2016-08-24 | 500 | $14.23 | 17,900 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrants | Acquisiton | 2016-08-23 | 200 | $6.30 | 200 | $5.00 |
| Common Stock | Warrants | Acquisiton | 2016-08-23 | 500 | $7.67 | 500 | $5.00 |
| Common Stock | Warrants | Acquisiton | 2016-08-23 | 200 | $6.35 | 200 | $5.00 |
| Common Stock | Warrants | Acquisiton | 2016-08-24 | 350 | $6.80 | 350 | $5.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 16,600 | 2016-10-28 | 2022-01-29 | No | 4 | P | Direct |
| 17,100 | 2016-10-28 | 2022-01-29 | No | 4 | P | Direct |
| 17,300 | 2016-10-28 | 2022-01-29 | No | 4 | P | Direct |
| 17,650 | 2016-10-28 | 2022-01-29 | No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 5,713,879 | Indirect | By HCFP/Capital Partners III LLC |
| Common Stock | 2,520,532 | Indirect | By Pavilion Venture Partners LLC |
| Common Stock | 87,020 | Indirect | By HCFP Inc. |
| Common Stock | 125,000 | Indirect | By HCFP/Capital Partners IIIB LLC |
| Common Stock | 20,000 | Indirect | By HCFP/AG LLC |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrants | $5.00 | 2016-10-28 | 2022-01-29 | 5,713,879 | 5,713,879 | Indirect |
| Common Stock | Warrants | $5.00 | 2016-10-28 | 2022-01-29 | 12,000 | 2,220,532 | Indirect |
| Common Stock | Warrants | $5.00 | 2016-10-28 | 2022-01-29 | 87,020 | 387,020 | Indirect |
| Common Stock | Warrants | $5.00 | 2016-10-28 | 2022-01-29 | 125,000 | 125,000 | Indirect |
| Common Stock | Warrants | $5.00 | 2016-10-28 | 2022-01-29 | 20,000 | 20,000 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2022-01-29 | 5,713,879 | 5,713,879 | Indirect |
| 2022-01-29 | 12,000 | 2,220,532 | Indirect |
| 2022-01-29 | 87,020 | 387,020 | Indirect |
| 2022-01-29 | 125,000 | 125,000 | Indirect |
| 2022-01-29 | 20,000 | 20,000 | Indirect |
Footnotes
- Dr. Aklog is a member and a co-manager of HCFP/Capital Partners III LLC, and shares joint voting and dispositive power over the shares held by this entity. Dr. Aklog disclaims beneficial ownership of shares held by this entity, except to the extent of his proportionate pecuniary interest therein.
- Dr. Aklog is a member and sole manager of Pavilion Venture Partners LLC, and has sole voting and dispositive power over the shares held by this entity. Dr. Aklog disclaims beneficial ownership of shares held by this entity, except to the extent of his proportionate pecuniary interest therein.
- Dr. Aklog is a controlling shareholder of HCFP Inc., and shares joint voting and dispositive power over the shares held by this entity. Dr. Aklog disclaims beneficial ownership of shares held by this entity, except to the extent of his proportionate pecuniary interest therein.
- Dr. Aklog is a member and a co-manager of the entity that acts as sole manager of HCFP/Capital Partners IIIB LLC, and shares joint voting and dispositive power over the shares held by this entity. Dr. Aklog disclaims beneficial ownership of shares held by this entity, except to the extent of his pecuniary interest therein.
- Dr. Aklog is a co-manager of HCFP/AG LLC, and shares joint voting and dispositive power over the shares held by this entity. Dr. Aklog disclaims beneficial ownership of shares held by this entity, except to the extent of his pecuniary interest therein.
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