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PAVmed Inc. — Director's Dealing 2018
Apr 9, 2018
35221_dirs_2018-04-09_f8a66755-6673-4083-8e19-cd9c4b705971.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: PAVmed Inc. (PAVM)
CIK: 0001624326
Period of Report: 2018-04-05
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)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-04-05 | Warrants | $5.00 | D | 50450 | Disposed | 2022-01-29 | Common Stock (50450) | Direct |
| 2018-04-05 | Series Z Warrants | $3.00 | A | 25225 | Acquired | 2024-04-30 | Common Stock (25225) | Direct |
| 2018-04-05 | Warrants | $5.00 | D | 5646562 | Disposed | 2022-01-29 | Common Stock (5646562) | Indirect |
| 2018-04-05 | Series Z Warrants | $3.00 | A | 2823281 | Acquired | 2024-04-30 | Common Stock (2823281) | Indirect |
| 2018-04-05 | Warrants | $5.00 | D | 2220532 | Disposed | 2022-01-29 | Common Stock (2220532) | Indirect |
| 2018-04-05 | Series Z Warrants | $3.00 | A | 1110266 | Acquired | 2024-04-30 | Common Stock (1110266) | Indirect |
| 2018-04-05 | Warrants | $5.00 | D | 20000 | Disposed | 2022-01-29 | Common Stock (20000) | Indirect |
| 2018-04-05 | Series Z Warrants | $3.00 | A | 10000 | Acquired | 2024-04-30 | Common Stock (10000) | Indirect |
Footnotes
F1: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer.
F2: Dr. Aklog is a member and a co-manager of HCFP/Capital Partners III LLC, and shares joint voting and dispositive power over the securities held by this entity. Dr. Aklog disclaims beneficial ownership of securities held by this entity, except to the extent of his proportionate pecuniary interest therein.
F3: Dr. Aklog is a member and sole manager of Pavilion Venture Partners LLC, and has sole voting and dispositive power over the securities held by this entity. Dr. Aklog disclaims beneficial ownership of securities held by this entity, except to the extent of his proportionate pecuniary interest therein.
F4: Dr. Aklog is a co-manager of HCFP/AG LLC, and shares joint voting and dispositive power over the securities held by this entity. Dr. Aklog disclaims beneficial ownership of securities held by this entity, except to the extent of his pecuniary interest therein.