Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PAVmed Inc.PAVM · Entity 7317 | Director | December 21, 2017 | December 27, 2017 |
| Scopus BioPharma Inc.SCPS · Entity 133074 | Director · Chairman · 10% owner | November 23, 2021 | November 26, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
PAVmed Inc.
Report date December 21, 2017 · Filed December 27, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 163,177 |
Reported balance
After 2017-12-21 transaction · row 1
1 source rowRow 1 · 2017-12-21 · Other · Acquired 79,560 · Balance 163,177 F1: Pro rata distribution from HCFP/Capital Partners III LLC, of which the reporting person is a non-managing member. |
| Common StockSEC Table I · non-derivative | IndirectBy daughter | 100 |
Reported balance
Holding disclosure · report date 2017-12-21 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 100 |
| Common StockSEC Table I · non-derivative | IndirectBy daughter | 100 |
Reported balance
Holding disclosure · report date 2017-12-21 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 100 |
Filing footnotes · ownership attribution and instrument terms
F1: Pro rata distribution from HCFP/Capital Partners III LLC, of which the reporting person is a non-managing member.
Scopus BioPharma Inc.
Report date November 23, 2021 · Filed November 26, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| W WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $4.00 · Expires 2026-09-30 | IndirectHCFP/Capital Partners 18B-2 LLC | 0 |
Reported balance
After 2021-11-23 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-11-23 · Other · Disposed 3,000,000 · Balance 0 F1: The Reporting Person is a member and co-manager of HCFP/Capital Partners 18B-2 LLC ("HCFP 18B-2"). On November 23, 2021, HCFP 18B-2, pursuant to a Warrant Contribution Agreement by and between the Issuer and HCFP 18B-2, agreed to contribute its 3,000,000 W Warrants back to the Company in exchange for the Company cancelling a $1.5 million contingent promissory note, including any and all interest, owed by HCFP 18B-2 to the Company. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a member and co-manager of HCFP/Capital Partners 18B-2 LLC ("HCFP 18B-2"). On November 23, 2021, HCFP 18B-2, pursuant to a Warrant Contribution Agreement by and between the Issuer and HCFP 18B-2, agreed to contribute its 3,000,000 W Warrants back to the Company in exchange for the Company cancelling a $1.5 million contingent promissory note, including any and all interest, owed by HCFP 18B-2 to the Company.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 23, 2021 Filed Nov 26, 2021 17:01 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | OtherW Warrants · Derivative | 3,000,000 | Not disclosed Strike: $4.00 | Not disclosed |
DisclosureSEC source: 0001104659-21-144009 · tm2133885-1_4.xml · derivative · entry 1 Lamstein Joshua R · CIK 0001665280 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · HCFP/Capital Partners 18B-2 LLC Disclosed balance after: 0 Underlying: B Unit · 3,000,000 shares Expires 2026-09-30 F1 · price: The Reporting Person is a member and co-manager of HCFP/Capital Partners 18B-2 LLC ("HCFP 18B-2"). On November 23, 2021, HCFP 18B-2, pursuant to a Warrant Contribution Agreement by and between the Issuer and HCFP 18B-2, agreed to contribute its 3,000,000 W Warrants back to the Company in exchange for the Company cancelling a $1.5 million contingent promissory note, including any and all interest, owed by HCFP 18B-2 to the Company. Read SEC document |
| August 27, 2021 Filed Aug 27, 2021 18:02 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 200 | $5.00 | $1,000.00 |
DisclosureSEC source: 0001104659-21-110652 · tm2126367-1_4seq1.xml · nonDerivative · entry 2 Lamstein Joshua R · CIK 0001665280 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,997 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.99 to $5.02 per share 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 purchased at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| August 26, 2021 Filed Aug 27, 2021 18:02 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 200 | $4.90 | $980.00 |
DisclosureSEC source: 0001104659-21-110652 · tm2126367-1_4seq1.xml · nonDerivative · entry 1 Lamstein Joshua R · CIK 0001665280 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,797 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.89 to $4.91 per share 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 purchased at each separate price within the range set forth in this footnote (1) to this Form 4. Read SEC document |
| August 19, 2021 Filed Aug 23, 2021 17:55 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 800 | $4.04 | $3,232.00 |
DisclosureSEC source: 0001104659-21-108657 · tm2125722-1_4seq1.xml · nonDerivative · entry 1 Lamstein Joshua R · CIK 0001665280 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,597 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.02 to $4.08 per share 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 purchased at each separate price within the range set forth in this footnote (1) to this Form 4. Read SEC document |
| July 31, 2021 Filed Aug 3, 2021 18:49 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | OtherW Warrants · Derivative | 1,068,016 | Not disclosed Strike: $4.00 | Not disclosed |
DisclosureSEC source: 0001104659-21-099626 · tm2123824d2_4.xml · derivative · entry 4 Lamstein Joshua R · CIK 0001665280 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · SCPS/Strategic Capital Partners LLC Disclosed balance after: 1,068,016 Underlying: B Unit · 1,068,016 shares Expires 2026-09-30 F6 · shares: Represents W Warrants held by SCPS/Strategic Capital Partners LLC, of which Mr. Lamstein is a co-manager. Accordingly, he is deemed to have shared voting and dispositive power over the securities held by such entity. Mr. Lamstein disclaims beneficial ownership of such securities, except to the extent of his proportionate pecuniary interest therein. F6 · price: Represents W Warrants held by SCPS/Strategic Capital Partners LLC, of which Mr. Lamstein is a co-manager. Accordingly, he is deemed to have shared voting and dispositive power over the securities held by such entity. Mr. Lamstein disclaims beneficial ownership of such securities, except to the extent of his proportionate pecuniary interest therein. F4 · derivative.underlying: Each W Warrant is exercisable for one B Unit. Starting on April 1, 2022, each B Unit can be separated into one share of common stock and one Z Warrant. Each Z Warrant is exercisable for one share of common stock with an exercise price of $5.00 per share. The Z Warrant will become exercisable on July 1, 2022 and will expire on June 30, 2027. Read SEC document |
| July 31, 2021 Filed Aug 3, 2021 18:49 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | OtherW Warrants · Derivative | 16,963 | Not disclosed Strike: $4.00 | Not disclosed |
DisclosureSEC source: 0001104659-21-099626 · tm2123824d2_4.xml · derivative · entry 3 Lamstein Joshua R · CIK 0001665280 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,131 Underlying: B Unit · 16,963 shares Expires 2026-09-30 F3 · shares: Represents the W Warrants issued upon conversion of the total outstanding principal amount and accrued interest on the Convertible Notes through and including the Maturity Date. No additional consideration was required in connection with such conversion. F3 · price: Represents the W Warrants issued upon conversion of the total outstanding principal amount and accrued interest on the Convertible Notes through and including the Maturity Date. No additional consideration was required in connection with such conversion. F4 · derivative.underlying: Each W Warrant is exercisable for one B Unit. Starting on April 1, 2022, each B Unit can be separated into one share of common stock and one Z Warrant. Each Z Warrant is exercisable for one share of common stock with an exercise price of $5.00 per share. The Z Warrant will become exercisable on July 1, 2022 and will expire on June 30, 2027. F5 · balance_after: Includes 14,168 W Warrants that were previously reported on the reporting person's Form 3 filed with the SEC on December 15, 2020. Read SEC document |
| July 31, 2021 Filed Aug 3, 2021 18:49 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | ConversionConvertible Notes · Derivative | Not disclosed | Not disclosed Strike: $0.50 | $8,481.00 |
DisclosureSEC source: 0001104659-21-099626 · tm2123824d2_4.xml · derivative · entry 2 Lamstein Joshua R · CIK 0001665280 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: W Warrant · 16,963 shares Expires 2021-07-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · reported_value: Represents the total outstanding principal amount and accrued interest on the Convertible Notes through and including the Maturity Date that were converted into W Warrants on such date. No additional consideration was required in connection with such conversion. F2 · price: Represents the total outstanding principal amount and accrued interest on the Convertible Notes through and including the Maturity Date that were converted into W Warrants on such date. No additional consideration was required in connection with such conversion. Read SEC document |
| July 31, 2021 Filed Aug 3, 2021 18:49 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | OtherConvertible Notes · Derivative | Not disclosed | Not disclosed Strike: $0.50 | $981.00 |
DisclosureSEC source: 0001104659-21-099626 · tm2123824d2_4.xml · derivative · entry 1 Lamstein Joshua R · CIK 0001665280 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: W Warrant · 1,963 shares Expires 2021-07-31 F1 · reported_value: Represents accrued interest on the Convertible Notes through and including July 31, 2021 (the "Maturity Date"). F1 · price: Represents accrued interest on the Convertible Notes through and including July 31, 2021 (the "Maturity Date"). Read SEC document |
| July 23, 2021 Filed Jul 27, 2021 16:59 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 1,500 | $4.71 | $7,065.00 |
DisclosureSEC source: 0001104659-21-096342 · tm2123355-1_4seq1.xml · nonDerivative · entry 1 Lamstein Joshua R · CIK 0001665280 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,797 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.68 to $4.73 per share. 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 purchased at each separate price within the range set forth in this footnote (1) to this Form 4. Read SEC document |
| February 23, 2021 Filed Feb 24, 2021 07:54 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 500 | $9.34 | $4,670.00 |
DisclosureSEC source: 0001104659-21-027151 · tm217761-2_4seq1.xml · nonDerivative · entry 1 Lamstein Joshua R · CIK 0001665280 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,297 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.19 to $9.55 per share. 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 purchased at each separate price within the range set forth in this footnote (1) to this Form 4. Read SEC document |
| February 22, 2021 Filed Feb 23, 2021 08:04 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 100 | $9.99 | $999.00 |
DisclosureSEC source: 0001104659-21-026467 · tm217579d2_4seq1.xml · nonDerivative · entry 1 Lamstein Joshua R · CIK 0001665280 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,797 Read SEC document |
| February 19, 2021 Filed Feb 19, 2021 10:12 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 500 | $10.93 | $5,465.00 |
DisclosureSEC source: 0001104659-21-025572 · tm217272-1_4seq1.xml · nonDerivative · entry 1 Lamstein Joshua R · CIK 0001665280 · Director · Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,697 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.89 to $10.96 per share. 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 purchased at each separate price within the range set forth in this footnote (1) to this Form 4. Read SEC document |
| December 21, 2017 Filed Dec 27, 2017 02:55 UTC | PAVmed Inc. PAVM · Entity 7317 | OtherCommon Stock | 79,560 | $0.00 | $0.00 |
DisclosureSEC source: 0001094891-17-000288 · edgar.xml · nonDerivative · entry 1 Lamstein Joshua R · CIK 0001665280 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,177 F1 · kind: Pro rata distribution from HCFP/Capital Partners III LLC, of which the reporting person is a non-managing member. Read SEC document |
| November 22, 2016 Filed Nov 23, 2016 16:08 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseWarrants · Derivative | 100 | $6.40 Strike: $5.00 | $640.00 |
DisclosureSEC source: 0001094891-16-000649 · edgar.xml · derivative · entry 1 Lamstein Joshua R · CIK 0001665280 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By daughter Disclosed balance after: 100 Underlying: Common Stock · 100 shares Expires 2022-01-29 Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 21:08 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseCommon Stock | 100 | $11.51 | $1,151.00 |
DisclosureSEC source: 0001094891-16-000647 · edgar.xml · nonDerivative · entry 2 Lamstein Joshua R · CIK 0001665280 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By daughter Disclosed balance after: 100 Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 21:08 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseCommon Stock | 100 | $10.38 | $1,038.00 |
DisclosureSEC source: 0001094891-16-000647 · edgar.xml · nonDerivative · entry 1 Lamstein Joshua R · CIK 0001665280 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By daughter Disclosed balance after: 100 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.