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PAVmed Inc. — Director's Dealing 2016
Jan 29, 2016
35221_dirs_2016-01-29_675b3a9a-7e86-43fe-a1c1-8c8ba015fdb6.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: PAVmed Inc. (PAVM)
CIK: 0001624326
Period of Report: 2016-01-29
Reporting Person: Aklog Lishan (Director, Chiarman and CEO, 10% Owner)
Reporting Person: HCFP/Capital Partners III LLC (10% Owner)
Reporting Person: Pavilion Venture Partners LLC (10% Owner)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 5713879 | Indirect |
| Common Stock | 2508532 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Warrant | $5.00 | 2021-11-25 | Common Stock (5713879) | Indirect | |
| Warrant | $5.00 | 2021-11-25 | Common Stock (2508532) | Indirect |
Footnotes
F1: Dr. Aklog is a member and a co-manager of HCFP/Capital Partners III, and shares joint voting and dispositive power over the shares held by this entity. Dr. Aklog a 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: The warrants will be exercisable commencing 6 months from the consummation of the Issuer's initial public offering.