PAVmed Inc. — Director's Dealing 2016

Sep 20, 2016

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: PAVmed Inc. (PAVM)
CIK: 0001624326
Period of Report: 2016-08-23

Reporting Person: Aklog Lishan (Director, Chairman and CEO, 10% Owner)
Reporting Person: HCFP/Capital Partners III LLC (10% Owner)
Reporting Person: Pavilion Venture Partners LLC (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2016-09-15	Common Stock	P	300	$13.9538	Acquired	20100	Direct
2016-09-16	Common Stock	P	200	$14.4565	Acquired	20300	Direct
2016-09-16	Common Stock	P	200	$14.2245	Acquired	20500	Direct
2016-09-16	Common Stock	P	200	$13.9798	Acquired	20700	Direct
2016-09-16	Common Stock	P	200	$13.735	Acquired	20900	Direct
2016-09-16	Common Stock	P	200	$13.998	Acquired	21100	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2016-08-23	Warrants	$5.00	P	100	Acquired	2022-01-29	Common Stock (100)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	5713879	Indirect
Common Stock	2520532	Indirect
Common Stock	87020	Indirect
Common Stock	125000	Indirect
Common Stock	20000	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Warrants	$5.00	2022-01-29	Common Stock (5713879)	5713879	Indirect
Warrants	$5.00	2022-01-29	Common Stock (12000)	2220532	Indirect
Warrants	$5.00	2022-01-29	Common Stock (87020)	387020	Indirect
Warrants	$5.00	2022-01-29	Common Stock (125000)	125000	Indirect
Warrants	$5.00	2022-01-29	Common Stock (20000)	20000	Indirect

Footnotes

F1: 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.

F2: 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.

F3: 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.

F4: 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.

F5: 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.