0001094891-18-000046.txt : 20180216
0001094891-18-000046.hdr.sgml : 20180216
20180216162538
ACCESSION NUMBER: 0001094891-18-000046
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180214
FILED AS OF DATE: 20180216
DATE AS OF CHANGE: 20180216
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: 18621528
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: 18621526
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: 18621525
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
2018-02-14
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
2018-02-02
5
G
0
34153
0
D
588413
D
Common Stock
1285
I
By daughter
Common Stock
1300
I
By son
Common Stock
4456570
I
By Pavilion Venture Partners LLC
Common Stock
20000
I
By HCFP/AG LLC
Employee Stock Option (Right to Buy)
2.01
2018-02-14
4
A
0
195108
0
A
2028-02-14
Common Stock
195108
195108
D
The reporting person transferred these shares of common stock by bona fide gift to a third party.
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 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.
The option vests in 12 equal quarterly installments commencing on March 31, 2018.
The reporting person no longer has a reportable beneficial interest in the following securities, which were included in the reporting person's prior ownership reports: (i) 125,000 shares of common stock and 125,000 warrants distributed by HCFP/Capital Partners IIIB LLC to its members on a pro rata basis (none of which were distributed to the reporting person); and (ii) 87,020 shares of common stock and 387,020 warrants held by HCFP Inc., over which the reporting person ceased to have investment control.
/s/ Dr. Lishan Aklog
2018-02-16
/s/ Dr. Lishan Aklog, as manager of HCFP/Capital Partners III LLC
2018-02-16
/s/ Dr. Lishan Aklog, as manager of Pavilion Venture Partners LLC
2018-02-16