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PAVmed Inc. — Director's Dealing 2018
Jun 25, 2018
35221_dirs_2018-06-25_217f1458-b0a1-41c7-a59d-ece48dbd16c5.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: 2018-06-12
Reporting Person: SIROVICH MATTHEW (10% Owner)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 466514 | Direct |
| Common Stock | 1414904 | Indirect |
| Common Stock | 732000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series S Warrants (right to buy) | $0.01 | 2032-06-30 | Common Stock (1199383) | Direct | |
| Series Z Warrants (right to buy) | $1.60 | 2024-04-30 | Common Stock (458257) | Direct | |
| Series Z Warrants (right to buy) | $1.60 | 2024-04-30 | Common Stock (857452) | Indirect | |
| Series Z Warrants (right to buy) | $1.60 | 2024-04-30 | Common Stock (466000) | Indirect |
Footnotes
F1: Securities of PAVMed Inc. (the "Issuer") held directly by The Sirovich Family Charitable Foundation (the "Sirovich Foundation"). Matthew Sirovich is a Director and President of the Sirovich Foundation and may be deemed to beneficially own the securities of the Issuer held by the Sirovich Foundation.
F2: Securities of the Issuer held directly by The Boomer Fund, L.P. ("Boomer"). Mr. Sirovich is the general partner of Boomer and may be deemed to beneficially own the securities of the Issuer held by Boomer.
F3: The Series S Warrants cannot be exercised if following such exercise Mr. Sirovich would beneficially own greater than 4.75% of the outstanding shares of the Issuer's common stock and therefore none of the Series S Warrants are currently exercisable.
F4: The Series Z Warrants were exercisable upon issuance.