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PAVmed Inc. — Director's Dealing 2018
Feb 14, 2018
35221_dirs_2018-02-14_2a57769a-5945-4d97-bce4-58fb44e4498b.zip
Director's Dealing
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SEC Form 5 — Annual Statement of Changes in Beneficial Ownership
Issuer: PAVmed Inc. (PAVM)
CIK: 0001624326
Period of Report: 2017-12-31
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 |
|---|---|---|---|---|---|---|---|
| 2017-12-22 | Common Stock | G | 150000 | — | Disposed | 622566 | Direct |
| 2017-12-21 | Common Stock | G | 1000 | — | Acquired | 1285 | Indirect |
| 2017-12-21 | Common Stock | G | 1000 | — | Acquired | 1300 | Indirect |
| 2017-12-21 | Common Stock | J | 5646562 | — | Disposed | 0 | Indirect |
| 2017-12-21 | Common Stock | J | 1936038 | — | Acquired | 4456570 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 20000 | Indirect |
Footnotes
F1: Reflects 701,077 shares of common stock that were previously held through HCFP/Capital Partners III LLC, and became directly held on December 21, 2017.
F2: The shares of common stock were distributed pro rata by such entity to its equity holders for no consideration.
F3: 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.
F4: 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.
F5: The shares of common stock were contributed to such entity by its members for no consideration.
F6: 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.