Statement of Changes in Beneficial Ownership (4)
May 04 2020 - 5:26PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
|
1. Name and Address of Reporting Person
*
Aklog Lishan |
2. Issuer Name and Ticker or Trading Symbol
PAVmed Inc.
[
PAVM
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chairman and CEO |
|
(Last)
(First)
(Middle)
ONE GRAND CENTRAL PLACE, SUITE 4600 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/30/2020 |
|
(Street)
NEW YORK, NY 10165
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
| Common Stock | 4/30/2020 | | A | | 250000 | A | $0 (1) | 1098413 | D |
|
| Common Stock | | | | | | | | 2303 | I | By daughter |
| Common Stock | | | | | | | | 2280 | I | By son |
| Common Stock | | | | | | | | 4456570 | I | By Pavilion Venture Partners LLC (2) |
| Common Stock | | | | | | | | 20000 | I | By HCFP/AG LLC (3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | The issuer granted 250,000 shares of restricted stock to the reporting person pursuant to its long term incentive equity plan. |
| (2) | Dr. Aklog is a member and sole manager of Pavilion Venture Partners LLC, and has sole voting and dispositive power over the securities held by this entity. Dr. Aklog disclaims beneficial ownership of securities held by this entity, except to the extent of his proportionate pecuniary interest therein. |
| (3) | Dr. Aklog is a co-manager of HCFP/AG LLC, and shares joint voting and dispositive power over the securities held by this entity. Dr. Aklog disclaims beneficial ownership of securities held by this entity, except to the extent of his pecuniary interest therein. |
Reporting Owners
|
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Aklog Lishan
ONE GRAND CENTRAL PLACE
SUITE 4600
NEW YORK, NY 10165 | X | X | Chairman and CEO |
|
Pavilion Venture Partners LLC
ONE GRAND CENTRAL PLACE
SUITE 4600
NEW YORK, NY 10165 |
| X |
|
|
Signatures
|
| /s/ Dr. Lishan Aklog | | 5/4/2020 |
| **Signature of Reporting Person | Date |
| /s/ Dr. Lishan Aklog, as manager of Pavilion Venture Partners LLC | | 5/4/2020 |
| **Signature of Reporting Person | Date |
PAVmed (NASDAQ:PAVM)
Historical Stock Chart
From Mar 2024 to Apr 2024
PAVmed (NASDAQ:PAVM)
Historical Stock Chart
From Apr 2023 to Apr 2024
