0001094891-17-000209.txt : 20170821
0001094891-17-000209.hdr.sgml : 20170821
20170821071917
ACCESSION NUMBER: 0001094891-17-000209
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170817
FILED AS OF DATE: 20170821
DATE AS OF CHANGE: 20170821
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Aklog Lishan
CENTRAL INDEX KEY: 0001665074
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37685
FILM NUMBER: 171042122
MAIL ADDRESS:
STREET 1: 420 LEXINGTON AVENUE
STREET 2: SUITE 300
CITY: NEW YORK
STATE: NY
ZIP: 10171
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HCFP/Capital Partners III LLC
CENTRAL INDEX KEY: 0001665111
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37685
FILM NUMBER: 171042121
BUSINESS ADDRESS:
STREET 1: 420 LEXINGTON AVENUE
STREET 2: SUITE 300
CITY: NEW YORK
STATE: NY
ZIP: 10170
BUSINESS PHONE: 2124011951
MAIL ADDRESS:
STREET 1: 420 LEXINGTON AVENUE
STREET 2: SUITE 300
CITY: NEW YORK
STATE: NY
ZIP: 10170
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Pavilion Venture Partners LLC
CENTRAL INDEX KEY: 0001665114
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37685
FILM NUMBER: 171042120
BUSINESS ADDRESS:
STREET 1: 420 LEXINGTON AVENUE
STREET 2: SUITE 300
CITY: NEW YORK
STATE: NY
ZIP: 10170
BUSINESS PHONE: 2124011951
MAIL ADDRESS:
STREET 1: 420 LEXINGTON AVENUE
STREET 2: SUITE 300
CITY: NEW YORK
STATE: NY
ZIP: 10170
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
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2017-08-17
0001624326
PAVmed Inc.
PAVM
0001665074
Aklog Lishan
ONE GRAND CENTRAL PLACE
SUITE 4600
NEW YORK
NY
10165
1
1
1
0
Chairman and CEO
0001665111
HCFP/Capital Partners III LLC
ONE GRAND CENTRAL PLACE
SUITE 4600
NEW YORK
NY
10165
0
0
1
0
0001665114
Pavilion Venture Partners LLC
ONE GRAND CENTRAL PLACE
SUITE 4600
NEW YORK
NY
10165
0
0
1
0
Common Stock
2017-08-17
4
P
0
1800
A
31.477
D
Common Stock
2017-08-18
4
P
0
8400
A
39877
D
Common Stock
285
I
By daughter
Common Stock
300
I
By son
Common Stock
5713879
I
By HCFP/Capital Partners III LLC
Common Stock
2520532
I
By Pavilion Venture Partners LLC
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
2017-08-18
4
P
0
100
1.421
A
2016-10-28
2022-01-29
Common Stock
100
44600
D
Warrants
5.00
2017-08-18
4
P
0
100
1.4999
A
2016-10-28
2022-01-29
Common Stock
100
44700
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
2220532
2220532
I
By Pavilion Venture Partners LLC
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
2000
I
By HCFP/AG LLC
The shares were purchased at a weighted average price of approximately $3.43 per share. These shares were purchased in multiple transactions at prices ranging from $3,28 to $3.50, inclusive. The reporting person undertakes to provide to PAVmed Inc., any security holder of PAVmed Inc., 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 to this Form 4.
The shares were purchased at a weighted average price of approximately $3.81 per share. These shares were purchased in multiple transactions at prices ranging from $3.573 to $4.00, inclusive. The reporting person undertakes to provide to PAVmed Inc., any security holder of PAVmed Inc., 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 to this Form 4.
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.
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.
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.
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.
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.
/s/ Dr. Lishan Aklog
2017-08-21
/s/ Dr. Lishan Aklog, as manager of HCFP/Capital Partners III LLC
2017-08-21
/s/ Dr. Lishan Aklog, as manager of Pavilion Venture Partners LLC
2017-08-21