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