Filing Details

Accession Number:
0001094891-16-000651
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-11-28 15:40:57
Reporting Period:
2016-11-23
Filing Date:
2016-11-28
Accepted Time:
2016-11-28 15:40:57
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1624326 Pavmed Inc. PAVM Surgical & Medical Instruments & Apparatus (3841) 471214177
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1665074 Lishan Aklog One Grand Central Place
Suite 4600
New York NY 10165
Chairman And Ceo Yes Yes Yes No
1665111 Hcfp/Capital Partners Iii Llc One Grand Central Place
Suite 4600
New York NY 10165
No No Yes No
1665114 Pavilion Venture Partners Llc One Grand Central Place
Suite 4600
New York NY 10165
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2016-11-23 2,200 $8.98 25,600 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrants Acquisiton 2016-11-23 300 $8.00 300 $5.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
19,550 2016-10-28 2022-01-29 No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 5,713,879 Indirect By HCFP/Capital Partners III LLC
Common Stock 2,520,532 Indirect By Pavilion Venture Partners LLC
Common Stock 87,020 Indirect By HCFP Inc.
Common Stock 125,000 Indirect By HCFP/Capital Partners IIIB LLC
Common Stock 20,000 Indirect By HCFP/AG LLC
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Warrants $5.00 2016-10-28 2022-01-29 5,713,879 5,713,879 Indirect
Common Stock Warrants $5.00 2016-10-28 2022-01-29 2,220,532 2,220,532 Indirect
Common Stock Warrants $5.00 2016-10-28 2022-01-29 387,020 387,020 Indirect
Common Stock Warrants $5.00 2016-10-28 2022-01-29 125,000 125,000 Indirect
Common Stock Warrants $5.00 2016-10-28 2022-01-29 20,000 2,000 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
2022-01-29 5,713,879 5,713,879 Indirect
2022-01-29 2,220,532 2,220,532 Indirect
2022-01-29 387,020 387,020 Indirect
2022-01-29 125,000 125,000 Indirect
2022-01-29 20,000 2,000 Indirect
Footnotes
  1. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.71 to $9.50, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth this footnote.
  2. 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.
  3. 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.
  4. 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.
  5. 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.
  6. 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.