Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PAVmed Inc.PAVM · Entity 7317 | 10% owner | June 08, 2018 | June 11, 2018 |
| Scopus BioPharma Inc.SCPS · Entity 133074 | Director · Executive Committee 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 June 08, 2018 · Filed June 11, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 421,691 |
Reported balance
After 2018-06-08 transaction · row 1
1 source rowRow 1 · 2018-06-08 · Sale · Disposed 18,300 · Balance 421,691 |
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: 0001104659-21-144011 · tm2133885-2_4.xml · derivative · entry 1 Greenspan Ira Scott · CIK 0001449211 · Director · Executive Committee 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 30, 2021 09:11 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 790 | $4.98 | $3,934.20 |
DisclosureSEC source: 0001104659-21-110764 · tm2126537-1_4.xml · nonDerivative · entry 2 Greenspan Ira Scott · CIK 0001449211 · Director · Executive Committee Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · HCFP Disclosed balance after: 14,640 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.96 to $5.00 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. F3 · ownership.nature: Mr. Greenspan is deemed to have shared voting and dispositive power over HCFP-held securities. Mr. Greenspan disclaims beneficial ownership of shares by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| August 27, 2021 Filed Aug 30, 2021 09:11 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 110 | $4.92 | $541.20 |
DisclosureSEC source: 0001104659-21-110764 · tm2126537-1_4.xml · nonDerivative · entry 1 Greenspan Ira Scott · CIK 0001449211 · Director · Executive Committee Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,450 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.91 to $5.00 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 24, 2021 Filed Aug 25, 2021 08:15 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 50 | $4.65 | $232.50 |
DisclosureSEC source: 0001104659-21-109182 · tm2125834-1_4seq1.xml · nonDerivative · entry 2 Greenspan Ira Scott · CIK 0001449211 · Director · Executive Committee Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,340 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.50 to $4.70 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 23, 2021 Filed Aug 25, 2021 08:15 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 500 | $4.41 | $2,205.00 |
DisclosureSEC source: 0001104659-21-109182 · tm2125834-1_4seq1.xml · nonDerivative · entry 1 Greenspan Ira Scott · CIK 0001449211 · Director · Executive Committee Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,290 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.38 to $4.45 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 20, 2021 Filed Aug 23, 2021 08:24 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 400 | $4.23 | $1,692.00 |
DisclosureSEC source: 0001104659-21-108376 · tm2125683d1_4.xml · nonDerivative · entry 2 Greenspan Ira Scott · CIK 0001449211 · Director · Executive Committee Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,790 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.22 to $4.25 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 08:24 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 2,000 | $4.04 | $8,080.00 |
DisclosureSEC source: 0001104659-21-108376 · tm2125683d1_4.xml · nonDerivative · entry 1 Greenspan Ira Scott · CIK 0001449211 · Director · Executive Committee Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · HCFP Disclosed balance after: 13,850 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 $4.10 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. F2 · ownership.nature: Mr. Greenspan is deemed to have shared voting and dispositive power over HCFP-held securities. Mr. Greenspan disclaims beneficial ownership of shares by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| August 18, 2021 Filed Aug 19, 2021 18:10 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 1,000 | $4.27 | $4,270.00 |
DisclosureSEC source: 0001104659-21-107826 · tm2125455-1_4seq1.xml · nonDerivative · entry 2 Greenspan Ira Scott · CIK 0001449211 · Director · Executive Committee Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · HCFP Disclosed balance after: 11,850 F2 · ownership.nature: Mr. Greenspan is deemed to have shared voting and dispositive power over HCFP-held securities. Mr. Greenspan disclaims beneficial ownership of shares by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| August 17, 2021 Filed Aug 19, 2021 18:10 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 1,000 | $4.13 | $4,130.00 |
DisclosureSEC source: 0001104659-21-107826 · tm2125455-1_4seq1.xml · nonDerivative · entry 1 Greenspan Ira Scott · CIK 0001449211 · Director · Executive Committee Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · HCFP Disclosed balance after: 10,850 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.10 to $4.18 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. F2 · ownership.nature: Mr. Greenspan is deemed to have shared voting and dispositive power over HCFP-held securities. Mr. Greenspan disclaims beneficial ownership of shares by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| July 31, 2021 Filed Aug 3, 2021 18:50 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | OtherW Warrants · Derivative | 1,068,016 | Not disclosed Strike: $4.00 | Not disclosed |
DisclosureSEC source: 0001104659-21-099627 · tm2123824d1_4.xml · derivative · entry 1 Greenspan Ira Scott · CIK 0001449211 · Director · Executive Committee 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 F1 · shares: Represents W Warrants held by SCPS/Strategic Capital Partners LLC, of which Mr. Greenspan is a co-manager. Accordingly, he is deemed to have shared voting and dispositive power over the securities held by such entity. Mr. Greenspan disclaims beneficial ownership of such securities, except to the extent of his proportionate pecuniary interest therein. F1 · price: Represents W Warrants held by SCPS/Strategic Capital Partners LLC, of which Mr. Greenspan is a co-manager. Accordingly, he is deemed to have shared voting and dispositive power over the securities held by such entity. Mr. Greenspan disclaims beneficial ownership of such securities, except to the extent of his proportionate pecuniary interest therein. F2 · 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 27, 2021 Filed Jul 27, 2021 16:59 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 200 | $4.54 | $908.00 |
DisclosureSEC source: 0001104659-21-096344 · tm2123355-2_4seq1.xml · nonDerivative · entry 4 Greenspan Ira Scott · CIK 0001449211 · Director · Executive Committee Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,390 Read SEC document |
| July 26, 2021 Filed Jul 27, 2021 16:59 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 400 | $4.76 | $1,904.00 |
DisclosureSEC source: 0001104659-21-096344 · tm2123355-2_4seq1.xml · nonDerivative · entry 3 Greenspan Ira Scott · CIK 0001449211 · Director · Executive Committee Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,190 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.74 to $4.80 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 (4) to this Form 4. Read SEC document |
| July 26, 2021 Filed Jul 27, 2021 16:59 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 1,000 | $4.78 | $4,780.00 |
DisclosureSEC source: 0001104659-21-096344 · tm2123355-2_4seq1.xml · nonDerivative · entry 2 Greenspan Ira Scott · CIK 0001449211 · Director · Executive Committee Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · HCFP Disclosed balance after: 9,850 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.78 to $4.79 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. F2 · ownership.nature: Mr. Greenspan is deemed to have shared voting and dispositive power over HCFP-held securities. Mr. Greenspan disclaims beneficial ownership of shares by this entity, except to the extent of his proportionate pecuniary interest therein. 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 | 1,100 | $4.77 | $5,247.00 |
DisclosureSEC source: 0001104659-21-096344 · tm2123355-2_4seq1.xml · nonDerivative · entry 1 Greenspan Ira Scott · CIK 0001449211 · Director · Executive Committee Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · HCFP Disclosed balance after: 8,850 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.72 to $4.95 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. F2 · ownership.nature: Mr. Greenspan is deemed to have shared voting and dispositive power over HCFP-held securities. Mr. Greenspan disclaims beneficial ownership of shares by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| February 25, 2021 Filed Feb 26, 2021 13:21 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 800 | $9.01 | $7,208.00 |
DisclosureSEC source: 0001104659-21-028948 · tm218062d1_4seq1.xml · nonDerivative · entry 3 Greenspan Ira Scott · CIK 0001449211 · Director · Executive Committee Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · HCFP Disclosed balance after: 7,750 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.00 to $9.02 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 (4) to this Form 4. F3 · ownership.nature: Mr. Greenspan is deemed to have shared voting and dispositive power over HCFP-held securities. Mr. Greenspan disclaims beneficial ownership of shares by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| February 24, 2021 Filed Feb 26, 2021 13:21 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 300 | $9.45 | $2,835.00 |
DisclosureSEC source: 0001104659-21-028948 · tm218062d1_4seq1.xml · nonDerivative · entry 2 Greenspan Ira Scott · CIK 0001449211 · Director · Executive Committee Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · HCFP Disclosed balance after: 6,950 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.44 to $9.46 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. F3 · ownership.nature: Mr. Greenspan is deemed to have shared voting and dispositive power over HCFP-held securities. Mr. Greenspan disclaims beneficial ownership of shares by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| February 24, 2021 Filed Feb 26, 2021 13:21 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 115 | $9.48 | $1,090.20 |
DisclosureSEC source: 0001104659-21-028948 · tm218062d1_4seq1.xml · nonDerivative · entry 1 Greenspan Ira Scott · CIK 0001449211 · Director · Executive Committee Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,790 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.44 to $9.69 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 07:46 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 1,300 | $9.66 | $12,558.00 |
DisclosureSEC source: 0001104659-21-027147 · tm217761-1_4seq1.xml · nonDerivative · entry 2 Greenspan Ira Scott · CIK 0001449211 · Director · Executive Committee Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · HCFP Disclosed balance after: 6,650 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.50 to $9.90 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 F3 · ownership.nature: Mr. Greenspan is deemed to have shared voting and dispositive power over HCFP-held securities. Mr. Greenspan disclaims beneficial ownership of shares by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| February 23, 2021 Filed Feb 24, 2021 07:46 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 200 | $9.58 | $1,916.00 |
DisclosureSEC source: 0001104659-21-027147 · tm217761-1_4seq1.xml · nonDerivative · entry 1 Greenspan Ira Scott · CIK 0001449211 · Director · Executive Committee Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,675 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.36 to $9.95 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 07:55 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 450 | $10.05 | $4,522.50 |
DisclosureSEC source: 0001104659-21-026463 · tm217579d1_4seq1.xml · nonDerivative · entry 1 Greenspan Ira Scott · CIK 0001449211 · Director · Executive Committee Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · HCFP Disclosed balance after: 5,350 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.86 to $10.22 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. F2 · ownership.nature: Mr. Greenspan is deemed to have shared voting and dispositive power over HCFP-held securities. Mr. Greenspan disclaims beneficial ownership of shares by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| February 18, 2021 Filed Feb 18, 2021 21:22 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 2,200 | $10.04 | $22,088.00 |
DisclosureSEC source: 0001104659-21-025419 · tm217163-1_4seq1.xml · nonDerivative · entry 4 Greenspan Ira Scott · CIK 0001449211 · Director · Executive Committee Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · HCFP Disclosed balance after: 4,900 F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.60 to $10.35 per share, inclusive. The Reporting Person undertakes to provide 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 (5) to this Form 4. F2 · ownership.nature: Mr. Greenspan is deemed to have shared voting and dispositive power over HCFP-held securities. Mr. Greenspan disclaims beneficial ownership of shares held by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| February 17, 2021 Filed Feb 18, 2021 21:22 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 200 | $9.81 | $1,962.00 |
DisclosureSEC source: 0001104659-21-025419 · tm217163-1_4seq1.xml · nonDerivative · entry 3 Greenspan Ira Scott · CIK 0001449211 · Director · Executive Committee Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · HCFP Disclosed balance after: 2,700 F4 · price: These shares were purchased in multiple transactions at a price of $9.81 per share. F2 · ownership.nature: Mr. Greenspan is deemed to have shared voting and dispositive power over HCFP-held securities. Mr. Greenspan disclaims beneficial ownership of shares held by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| February 17, 2021 Filed Feb 18, 2021 21:22 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 475 | $9.69 | $4,602.75 |
DisclosureSEC source: 0001104659-21-025419 · tm217163-1_4seq1.xml · nonDerivative · entry 2 Greenspan Ira Scott · CIK 0001449211 · Director · Executive Committee Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,475 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.49 to $10.26 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 (3) to this Form 4. Read SEC document |
| February 16, 2021 Filed Feb 18, 2021 21:22 UTC | Scopus BioPharma Inc. SCPS · Entity 133074 | PurchaseCommon Stock, par value $0.001 | 2,500 | $10.20 | $25,500.00 |
DisclosureSEC source: 0001104659-21-025419 · tm217163-1_4seq1.xml · nonDerivative · entry 1 Greenspan Ira Scott · CIK 0001449211 · Director · Executive Committee Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · HCFP Disclosed balance after: 2,500 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.15 to $10.30 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. F2 · ownership.nature: Mr. Greenspan is deemed to have shared voting and dispositive power over HCFP-held securities. Mr. Greenspan disclaims beneficial ownership of shares held by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| June 08, 2018 Filed Jun 11, 2018 17:33 UTC | PAVmed Inc. PAVM · Entity 7317 | SaleCommon Stock | 18,300 | $1.04 | $19,032.00 |
DisclosureSEC source: 0001144204-18-033789 · tv496281_4.xml · nonDerivative · entry 1 Greenspan Ira Scott · CIK 0001449211 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 421,691 Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 20:46 UTC | PAVmed Inc. PAVM · Entity 7317 | SaleCommon Stock | 532,255 | $0.97 | $516,287.35 |
DisclosureSEC source: 0001144204-18-032917 · tv495849_4.xml · nonDerivative · entry 1 Greenspan Ira Scott · CIK 0001449211 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 439,991 F1 · date: Includes sales of common stock in open market transactions between 6/1/2018 and 6/5/2018. Read SEC document |
| December 21, 2017 Filed Feb 14, 2018 15:41 UTC | PAVmed Inc. PAVM · Entity 7317 | OtherCommon Stock | 846,984 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-008836 · tv486024_5.xml · nonDerivative · entry 3 Greenspan Ira Scott · CIK 0001449211 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By HCFP Inc. Disclosed balance after: 846,984 F4 · price: Reflects 846,984 shares of Common Stock that were previously held through HCFP/Capital Partners LLC, and became directly held on December 21, 2017. Mr. Greenspan is Chairman and Chief Executive Officer of this entity, and shares 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. Read SEC document |
| December 21, 2017 Filed Feb 14, 2018 15:41 UTC | PAVmed Inc. PAVM · Entity 7317 | OtherCommon Stock | 5,646,562 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-008836 · tv486024_5.xml · nonDerivative · entry 2 Greenspan Ira Scott · CIK 0001449211 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By HCFP/Capital Partners III LLC Disclosed balance after: 0 F2 · price: The shares of Common Stock were distributed pro rata by such entity to its equity holders for no consideration. F3 · ownership.nature: Mr. Greenspan is a member and 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. Read SEC document |
| December 21, 2017 Filed Feb 14, 2018 15:41 UTC | PAVmed Inc. PAVM · Entity 7317 | GiftCommon Stock | 246,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-008836 · tv486024_5.xml · nonDerivative · entry 1 Greenspan Ira Scott · CIK 0001449211 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,306,246 F1 · balance_after: Reflects 1,523,781 shares of Common Stock that were previously held through HCFP/Capital Partners LLC, and became directly held on December 21, 2017. Read SEC document |
| November 22, 2017 Filed Nov 27, 2017 18:04 UTC | PAVmed Inc. PAVM · Entity 7317 | OtherWarrants · Derivative | 67,317 | $0.00 Strike: $5.00 | $0.00 |
DisclosureSEC source: 0001094891-17-000277 · edgar.xml · derivative · entry 6 Greenspan Ira Scott · CIK 0001449211 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By HCFP/Capital Partners III LLC Disclosed balance after: 5,646,562 Underlying: Common Stock · 5,646,562 shares Expires 2022-01-29 F1 · price: The securities were contributed to an affiliated entity and then distributed pro rata by such entity to its equity holders. F2 · ownership.nature: 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. Read SEC document |
| November 22, 2017 Filed Nov 27, 2017 18:04 UTC | PAVmed Inc. PAVM · Entity 7317 | OtherCommon Stock | 67,317 | $0.00 | $0.00 |
DisclosureSEC source: 0001094891-17-000277 · edgar.xml · nonDerivative · entry 2 Greenspan Ira Scott · CIK 0001449211 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By HCFP/Capital Partners III LLC Disclosed balance after: 5,646,562 F1 · price: The securities were contributed to an affiliated entity and then distributed pro rata by such entity to its equity holders. F2 · ownership.nature: 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. Read SEC document |
| November 22, 2017 Filed Dec 6, 2017 16:42 UTC Amendment | PAVmed Inc. PAVM · Entity 7317 | OtherWarrants · Derivative | 67,317 | $0.00 Strike: $5.00 | $0.00 |
DisclosureSEC source: 0001144204-17-062636 · tv480886_4a.xml · derivative · entry 5 Greenspan Ira Scott · CIK 0001449211 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By HCFP/Capital Partners III LLC Disclosed balance after: 5,646,562 Underlying: Common Stock · 5,646,562 shares Expires 2022-01-29 F1 · price: The securities were contributed to an affiliated entity and then distributed pro rata by such entity to its equity holders. F2 · ownership.nature: 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. Read SEC document |
| November 22, 2017 Filed Dec 6, 2017 16:42 UTC Amendment | PAVmed Inc. PAVM · Entity 7317 | OtherCommon Stock | 67,317 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-17-062636 · tv480886_4a.xml · nonDerivative · entry 2 Greenspan Ira Scott · CIK 0001449211 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By HCFP/Capital Partners III LLC Disclosed balance after: 5,646,562 F1 · price: The securities were contributed to an affiliated entity and then distributed pro rata by such entity to its equity holders. F2 · ownership.nature: 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. Read SEC document |
| December 09, 2016 Filed Feb 14, 2017 19:08 UTC | PAVmed Inc. PAVM · Entity 7317 | OtherWarrants · Derivative | 320 | $6.77 Strike: $5.00 | $2,167.68 |
DisclosureSEC source: 0001094891-17-000068 · edgar.xml · derivative · entry 10 Greenspan Ira Scott · CIK 0001449211 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,293 Underlying: Common Stock · 320 shares Expires 2022-01-29 F8 · price: 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. Read SEC document |
| December 09, 2016 Filed Feb 14, 2017 19:08 UTC | PAVmed Inc. PAVM · Entity 7317 | OtherCommon Stock | 282 | $8.47 | $2,389.08 |
DisclosureSEC source: 0001094891-17-000068 · edgar.xml · nonDerivative · entry 3 Greenspan Ira Scott · CIK 0001449211 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,465 F2 · price: 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. Read SEC document |
| November 23, 2016 Filed Feb 14, 2017 19:08 UTC | PAVmed Inc. PAVM · Entity 7317 | OtherCommon Stock | 110 | $8.99 | $988.54 |
DisclosureSEC source: 0001094891-17-000068 · edgar.xml · nonDerivative · entry 2 Greenspan Ira Scott · CIK 0001449211 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,465 F1 · price: 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. Read SEC document |
| November 18, 2016 Filed Feb 14, 2017 19:08 UTC | PAVmed Inc. PAVM · Entity 7317 | OtherWarrants · Derivative | 100 | $7.90 Strike: $5.00 | $790.00 |
DisclosureSEC source: 0001094891-17-000068 · edgar.xml · derivative · entry 9 Greenspan Ira Scott · CIK 0001449211 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,293 Underlying: Common Stock · 100 shares Expires 2022-01-29 Read SEC document |
| November 18, 2016 Filed Feb 14, 2017 19:08 UTC | PAVmed Inc. PAVM · Entity 7317 | OtherCommon Stock | 200 | $10.20 | $2,040.00 |
DisclosureSEC source: 0001094891-17-000068 · edgar.xml · nonDerivative · entry 1 Greenspan Ira Scott · CIK 0001449211 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,465 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.