0001094891-17-000068.txt : 20170214 0001094891-17-000068.hdr.sgml : 20170214 20170214190829 ACCESSION NUMBER: 0001094891-17-000068 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170214 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: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37685 FILM NUMBER: 17612210 MAIL ADDRESS: STREET 1: 888 SEVENTH AVENUE STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10106 5 1 edgar.xml PRIMARY DOCUMENT X0306 5 2016-12-31 0 0 0001624326 PAVmed Inc. PAVM 0001449211 Greenspan Ira Scott 420 LEXINGTON AVENUE SUITE 300 NEW YORK NY 10170 1 0 1 0 Common Stock 2016-11-18 5 L 0 200 10.20 A 28465 D Common Stock 2016-11-23 5 L 0 110 8.9867 A 28465 D Common Stock 2016-12-09 5 L 0 282 8.4719 A 28465 D Common Stock 5713879 I By HCFP Capital Partners III LLC Common Stock 20904 I By Robert M. Greenspan Common Stock 87020 I By HCFP Inc. Common Stock 125000 I By HCFP/Capital Partners IIIB LLC Common Stock 20000 I By HCFP/AG LLC Warrants 5.00 2016-11-18 5 L 0 100 7.90 A 2016-10-28 2022-01-29 Common Stock 100 28293 D Warrants 5.00 2016-12-09 5 L 0 320 6.774 A 2016-10-28 2022-01-29 Common Stock 320 28293 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 2016-10-28 2022-01-29 Common Stock 387020 387020 I By HCFP Inc. Warrants 5.00 2016-10-28 2022-01-29 Common Stock 125000 125000 I By HCFP/Capital Partners IIIB LLC Warrants 5.00 2016-10-28 2022-01-29 Common Stock 20000 20000 I By HCFP/AG LLC The price reported is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $8.5535 to $9.0300, 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 acquired at each separate price within the ranges set forth in this footnote. The price reported is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $7.6780 to $8.9990, 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 acquired at each separate price within the ranges set forth in this footnote. 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. 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 price reported is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $5.9875 to $7.4900, 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 warrants acquired at each separate price within the ranges set forth in this footnote. /s/ Ira Scott Greenspan 2017-02-14