Home > Insider Trading > Filing (0001094891-16-000651)

Filing Details

Accession Number:: 0001094891-16-000651
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-11-28 15:40:57
Reporting Period:: 2016-11-23

Filing Date:: 2016-11-28
Accepted Time:: 2016-11-28 15:40:57
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

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2016-11-23	2,200	$8.98	25,600	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrants	Acquisiton	2016-11-23	300	$8.00	300	$5.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
19,550	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

Show Other Fields >>

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	2,220,532	2,220,532	Indirect
Common Stock	Warrants	$5.00	2016-10-28	2022-01-29	387,020	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	2,000	Indirect

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2022-01-29	5,713,879	5,713,879	Indirect
2022-01-29	2,220,532	2,220,532	Indirect
2022-01-29	387,020	387,020	Indirect
2022-01-29	125,000	125,000	Indirect
2022-01-29	20,000	2,000	Indirect

Footnotes

The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.71 to $9.50, 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 purchased at each separate price within the ranges set forth this footnote.
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.