0001094891-16-000475.txt : 20160502
0001094891-16-000475.hdr.sgml : 20160502
20160502212444
ACCESSION NUMBER: 0001094891-16-000475
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160428
FILED AS OF DATE: 20160502
DATE AS OF CHANGE: 20160502
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: PAVmed Inc.
CENTRAL INDEX KEY: 0001624326
STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
IRS NUMBER: 471214177
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: ONE GRAND CENTRAL PLACE
STREET 2: SUITE 4600
CITY: NEW YORK
STATE: NY
ZIP: 10165
BUSINESS PHONE: 212-949-4319
MAIL ADDRESS:
STREET 1: ONE GRAND CENTRAL PLACE
STREET 2: SUITE 4600
CITY: NEW YORK
STATE: NY
ZIP: 10165
FORMER COMPANY:
FORMER CONFORMED NAME: PAXmed Inc.
DATE OF NAME CHANGE: 20141105
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Greenspan Ira Scott
CENTRAL INDEX KEY: 0001449211
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37685
FILM NUMBER: 161613407
MAIL ADDRESS:
STREET 1: 888 SEVENTH AVENUE
STREET 2: 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10106
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2016-04-28
0001624326
PAVmed Inc.
PAVM
0001449211
Greenspan Ira Scott
420 LEXINGTON AVENUE
SUITE 300
NEW YORK
NY
10170
1
0
1
0
Common Stock
27873
D
Common Stock
5713879
I
By HCFP/Capital Partners III LLC
Common Stock
20904
I
By Robert M. Greenspan
Common Stock
2016-04-28
4
A
0
87020
A
87020
I
By HCFP Inc.
Common Stock
2016-04-28
4
A
0
125000
A
125000
I
By HCFP/Capital Partners IIIB LLC
Common Stock
2016-04-28
4
A
0
20000
A
20000
I
By HCFP/AG LLC
Warrants
5.00
2016-10-28
2022-01-29
Common Stock
27873
27873
D
Warrants
5.00
2016-10-28
2022-01-29
Common Stock
5713879
5713879
I
By HCFP/Capital Partners III LLC
Warrants
5.00
2016-10-28
2022-01-29
Common Stock
6968
6968
I
By Robert M. Greenspan
Warrants
5.00
2016-04-28
4
A
0
87020
A
2016-10-28
2022-01-29
Common Stock
87020
387020
I
By HCFP Inc.
Warrants
5.00
2016-04-28
4
A
0
125000
A
2016-10-28
2022-01-29
Common Stock
125000
125000
I
By HCFP/Capital Partners IIIB LLC
Warrants
5.00
2016-04-28
4
A
0
20000
A
2016-10-28
2022-01-29
Common Stock
20000
20000
I
By HCFP/AG LLC
Employee Stock Option (Right to Buy)
5.00
2016-04-28
4
A
0
97554
0
A
2026-04-28
Common Stock
97554
97554
D
Mr. Greenspan 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. Mr. Greenspan disclaims beneficial ownership of shares held by this entity, except to the extent of his proportionate pecuniary interest therein.
Robert M. Greenspan is the reporting person's son.
The reporting person purchased units from the issuer, each unit consisting of one share of the issuer's common stock and one warrant, at a price of $5.00 per unit. Each warrant entitles the holder to purchase one share of the issuer's common stock at an exercise price of $5.00 per share, subject to adjustment.
Mr. Greenspan is a controlling shareholder of HCFP Inc., and shares joint voting and dispositive power over the shares held by this entity. Mr. Greenspan disclaims beneficial ownership of shares held by this entity, except to the extent of his proportionate pecuniary interest therein.
Mr. Greenspan 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. Mr. Greenspan disclaims beneficial ownership of shares held by this entity, except to the extent of his pecuniary interest therein.
Mr. Greenspan is a co-manager of HCFP/AG LLC, and shares joint voting and dispositive power over the shares held by this entity. Mr. Greenspan disclaims beneficial ownership of shares held by this entity, except to the extent of his pecuniary interest therein.
The option vests as to 3/36 of the shares on July 28, 2016 and in 33 equal monthly installments thereafter.
/s/ Ira Scott Greenspan
2016-05-02