organization · Reporting owner
HCFP/Capital Partners III LLC
Disclosed activity across 1 company
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PAVmed Inc.PAVM · Entity 7317 | 10% owner | April 05, 2018 | April 09, 2018 |
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 April 05, 2018 · Filed April 09, 2018
Jointly reported with Aklog Lishan, Pavilion Venture Partners LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $5.00 · Expires 2022-01-29 | Direct | 0 |
Reported balance
After 2018-04-05 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-04-05 · Disposition to issuer · Disposed 50,450 · Balance 0 F1: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer. |
| Series Z WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $3.00 · Expires 2024-04-30 | Direct | 25,225 |
Reported balance
After 2018-04-05 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-04-05 · Grant · Acquired 25,225 · Balance 25,225 F1: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $5.00 · Expires 2022-01-29 | IndirectBy HCFP/Capital Partners III LLC | 0 |
Reported balance
After 2018-04-05 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-04-05 · Disposition to issuer · Disposed 5,646,562 · Balance 0 F1: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer. F2: Dr. Aklog is a member and a co-manager of HCFP/Capital Partners III 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 proportionate pecuniary interest therein. |
| Series Z WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $3.00 · Expires 2024-04-30 | IndirectBy HCFP/Capital Partners III LLC | 2,823,281 |
Reported balance
After 2018-04-05 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2018-04-05 · Grant · Acquired 2,823,281 · Balance 2,823,281 F1: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer. F2: Dr. Aklog is a member and a co-manager of HCFP/Capital Partners III 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 proportionate pecuniary interest therein. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $5.00 · Expires 2022-01-29 | IndirectBy Pavilion Venture Partners LLC | 0 |
Reported balance
After 2018-04-05 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-04-05 · Disposition to issuer · Disposed 2,220,532 · Balance 0 F1: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer. F3: 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. |
| Series Z WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $3.00 · Expires 2024-04-30 | IndirectBy Pavilion Venture Partners LLC | 1,110,266 |
Reported balance
After 2018-04-05 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-04-05 · Grant · Acquired 1,110,266 · Balance 1,110,266 F1: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer. F3: 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. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $5.00 · Expires 2022-01-29 | IndirectBy HCFP/AG LLC | 0 |
Reported balance
After 2018-04-05 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-04-05 · Disposition to issuer · Disposed 20,000 · Balance 0 F1: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer. F4: 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. |
| Series Z WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $3.00 · Expires 2024-04-30 | IndirectBy HCFP/AG LLC | 10,000 |
Reported balance
After 2018-04-05 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2018-04-05 · Grant · Acquired 10,000 · Balance 10,000 F1: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer. F4: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer.
F2: Dr. Aklog is a member and a co-manager of HCFP/Capital Partners III 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 proportionate pecuniary interest therein.
F3: 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.
F4: 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.
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 |
|---|---|---|---|---|---|---|
| April 05, 2018 Filed Apr 9, 2018 19:51 UTC | PAVmed Inc. PAVM · Entity 7317 | GrantSeries Z Warrants · Derivative | 10,000 | Not disclosed Strike: $3.00 | Not disclosed |
DisclosureSEC source: 0001094891-18-000095 · edgar.xml · derivative · entry 8 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By HCFP/AG LLC Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2024-04-30 F1 · price: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer. F4 · ownership.nature: 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. Read SEC document |
| April 05, 2018 Filed Apr 9, 2018 19:51 UTC | PAVmed Inc. PAVM · Entity 7317 | Disposition to issuerWarrants · Derivative | 20,000 | Not disclosed Strike: $5.00 | Not disclosed |
DisclosureSEC source: 0001094891-18-000095 · edgar.xml · derivative · entry 7 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By HCFP/AG LLC Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2022-01-29 F1 · price: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer. F4 · ownership.nature: 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. Read SEC document |
| April 05, 2018 Filed Apr 9, 2018 19:51 UTC | PAVmed Inc. PAVM · Entity 7317 | GrantSeries Z Warrants · Derivative | 1,110,266 | Not disclosed Strike: $3.00 | Not disclosed |
DisclosureSEC source: 0001094891-18-000095 · edgar.xml · derivative · entry 6 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Pavilion Venture Partners LLC Disclosed balance after: 1,110,266 Underlying: Common Stock · 1,110,266 shares Expires 2024-04-30 F1 · price: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer. F3 · ownership.nature: 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. Read SEC document |
| April 05, 2018 Filed Apr 9, 2018 19:51 UTC | PAVmed Inc. PAVM · Entity 7317 | Disposition to issuerWarrants · Derivative | 2,220,532 | Not disclosed Strike: $5.00 | Not disclosed |
DisclosureSEC source: 0001094891-18-000095 · edgar.xml · derivative · entry 5 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Pavilion Venture Partners LLC Disclosed balance after: 0 Underlying: Common Stock · 2,220,532 shares Expires 2022-01-29 F1 · price: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer. F3 · ownership.nature: 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. Read SEC document |
| April 05, 2018 Filed Apr 9, 2018 19:51 UTC | PAVmed Inc. PAVM · Entity 7317 | GrantSeries Z Warrants · Derivative | 2,823,281 | Not disclosed Strike: $3.00 | Not disclosed |
DisclosureSEC source: 0001094891-18-000095 · edgar.xml · derivative · entry 4 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By HCFP/Capital Partners III LLC Disclosed balance after: 2,823,281 Underlying: Common Stock · 2,823,281 shares Expires 2024-04-30 F1 · price: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer. F2 · ownership.nature: Dr. Aklog is a member and a co-manager of HCFP/Capital Partners III 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 proportionate pecuniary interest therein. Read SEC document |
| April 05, 2018 Filed Apr 9, 2018 19:51 UTC | PAVmed Inc. PAVM · Entity 7317 | Disposition to issuerWarrants · Derivative | 5,646,562 | Not disclosed Strike: $5.00 | Not disclosed |
DisclosureSEC source: 0001094891-18-000095 · edgar.xml · derivative · entry 3 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By HCFP/Capital Partners III LLC Disclosed balance after: 0 Underlying: Common Stock · 5,646,562 shares Expires 2022-01-29 F1 · price: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer. F2 · ownership.nature: Dr. Aklog is a member and a co-manager of HCFP/Capital Partners III 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 proportionate pecuniary interest therein. Read SEC document |
| April 05, 2018 Filed Apr 9, 2018 19:51 UTC | PAVmed Inc. PAVM · Entity 7317 | GrantSeries Z Warrants · Derivative | 25,225 | Not disclosed Strike: $3.00 | Not disclosed |
DisclosureSEC source: 0001094891-18-000095 · edgar.xml · derivative · entry 2 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,225 Underlying: Common Stock · 25,225 shares Expires 2024-04-30 F1 · price: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer. Read SEC document |
| April 05, 2018 Filed Apr 9, 2018 19:51 UTC | PAVmed Inc. PAVM · Entity 7317 | Disposition to issuerWarrants · Derivative | 50,450 | Not disclosed Strike: $5.00 | Not disclosed |
DisclosureSEC source: 0001094891-18-000095 · edgar.xml · derivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,450 shares Expires 2022-01-29 F1 · price: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer. Read SEC document |
| February 14, 2018 Filed Feb 16, 2018 21:25 UTC | PAVmed Inc. PAVM · Entity 7317 | GrantEmployee Stock Option (Right to Buy) · Derivative | 195,108 | $0.00 Strike: $2.01 | $0.00 |
DisclosureSEC source: 0001094891-18-000046 · edgar.xml · derivative · entry 6 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,108 Underlying: Common Stock · 195,108 shares Expires 2028-02-14 F4 · derivative.exercise_date: The option vests in 12 equal quarterly installments commencing on March 31, 2018. Read SEC document |
| February 02, 2018 Filed Feb 16, 2018 21:25 UTC | PAVmed Inc. PAVM · Entity 7317 | GiftCommon Stock | 34,153 | $0.00 | $0.00 |
DisclosureSEC source: 0001094891-18-000046 · edgar.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 588,413 F1 · price: The reporting person transferred these shares of common stock by bona fide gift to a third party. Read SEC document |
| December 22, 2017 Filed Feb 14, 2018 22:34 UTC | PAVmed Inc. PAVM · Entity 7317 | GiftCommon Stock | 150,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001094891-18-000036 · edgar.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 622,566 F1 · balance_after: Reflects 701,077 shares of common stock that were previously held through HCFP/Capital Partners III LLC, and became directly held on December 21, 2017. Read SEC document |
| December 21, 2017 Filed Feb 14, 2018 22:34 UTC | PAVmed Inc. PAVM · Entity 7317 | OtherCommon Stock | 1,936,038 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-18-000036 · edgar.xml · nonDerivative · entry 5 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Pavilion Venture Partners LLC Disclosed balance after: 4,456,570 F5 · price: The shares of common stock were contributed to such entity by its members for no consideration. F4 · ownership.nature: 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. Read SEC document |
| December 21, 2017 Filed Feb 14, 2018 22:34 UTC | PAVmed Inc. PAVM · Entity 7317 | OtherCommon Stock | 5,646,562 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-18-000036 · edgar.xml · nonDerivative · entry 4 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting 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: 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. Read SEC document |
| December 21, 2017 Filed Feb 14, 2018 22:34 UTC | PAVmed Inc. PAVM · Entity 7317 | GiftCommon Stock | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001094891-18-000036 · edgar.xml · nonDerivative · entry 3 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By son Disclosed balance after: 1,300 Read SEC document |
| December 21, 2017 Filed Feb 14, 2018 22:34 UTC | PAVmed Inc. PAVM · Entity 7317 | GiftCommon Stock | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001094891-18-000036 · edgar.xml · nonDerivative · entry 2 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By daughter Disclosed balance after: 1,285 Read SEC document |
| November 22, 2017 Filed Nov 27, 2017 22:47 UTC | PAVmed Inc. PAVM · Entity 7317 | OtherWarrants · Derivative | 67,317 | $0.00 Strike: $5.00 | $0.00 |
DisclosureSEC source: 0001094891-17-000275 · edgar.xml · derivative · entry 8 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting 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 F2 · price: The securities were contributed to an affiliated entity and then distributed pro rata by such entity to its equity holders. F3 · ownership.nature: 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. Read SEC document |
| November 22, 2017 Filed Nov 27, 2017 22:47 UTC | PAVmed Inc. PAVM · Entity 7317 | OtherCommon Stock | 67,317 | $0.00 | $0.00 |
DisclosureSEC source: 0001094891-17-000275 · edgar.xml · nonDerivative · entry 4 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By HCFP/Capital Partners III LLC Disclosed balance after: 5,646,562 F2 · price: The securities were contributed to an affiliated entity and then distributed pro rata by such entity to its equity holders. F3 · ownership.nature: 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. Read SEC document |
| November 21, 2017 Filed Nov 27, 2017 22:47 UTC | PAVmed Inc. PAVM · Entity 7317 | OtherCommon Stock | 1,200 | $4.30 | $5,160.00 |
DisclosureSEC source: 0001094891-17-000275 · edgar.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,489 F1 · price: The shares were purchased at a weighted average price of approximately $4.30 per share. These shares were purchased in multiple transactions at prices ranging from $4.07 to $4.67, 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. Read SEC document |
| November 20, 2017 Filed Nov 21, 2017 19:20 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseCommon Stock | 950 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-17-000273 · edgar.xml · nonDerivative · entry 2 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,289 F2 · price: The shares were purchased at a weighted average price of approximately $4.70 per share. These shares were purchased in multiple transactions at prices ranging from $4.50 to $4.795, 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. Read SEC document |
| November 17, 2017 Filed Nov 21, 2017 19:20 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseCommon Stock | 601 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-17-000273 · edgar.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,339 F1 · price: The shares were purchased at a weighted average price of approximately $4.37 per share. These shares were purchased in multiple transactions at prices ranging from $4.20 to $4.584, 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. Read SEC document |
| September 15, 2017 Filed Sep 21, 2017 17:58 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseCommon Stock | 2,600 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-17-000237 · edgar.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,738 F1 · price: The shares were purchased at a weighted average price of approximately $8.77461538 per share. These shares were purchased in multiple transactions at prices ranging from $8.09 to $9.05, 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. Read SEC document |
| September 13, 2017 Filed Sep 14, 2017 17:39 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseWarrants · Derivative | 100 | $2.41 Strike: $5.00 | $241.00 |
DisclosureSEC source: 0001094891-17-000236 · edgar.xml · derivative · entry 12 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,400 Underlying: Common Stock · 100 shares Expires 2022-01-29 Read SEC document |
| September 13, 2017 Filed Sep 14, 2017 17:39 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseCommon Stock | 300 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-17-000236 · edgar.xml · nonDerivative · entry 3 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,138 F2 · price: The shares were purchased at a weighted average price of approximately $6.88483 per share. These shares were purchased in multiple transactions at prices ranging from $6.75 to $7.03, 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. Read SEC document |
| September 12, 2017 Filed Sep 14, 2017 17:39 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseWarrants · Derivative | 200 | Not disclosed Strike: $5.00 | Not disclosed |
DisclosureSEC source: 0001094891-17-000236 · edgar.xml · derivative · entry 11 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,300 Underlying: Common Stock · 200 shares Expires 2022-01-29 F3 · price: The warrants were purchased at a weighted average price of approximately $2.71 per warrant. These warrants were purchased in multiple transactions at prices ranging from $2.10 to $3.32, inclusive. The reporting person undertakes to provide 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 warrants purchased at each separate price within the ranges set forth this footnote to this Form 4. Read SEC document |
| September 12, 2017 Filed Sep 14, 2017 17:39 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseCommon Stock | 100 | $6.66 | $666.00 |
DisclosureSEC source: 0001094891-17-000236 · edgar.xml · nonDerivative · entry 2 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,838 Read SEC document |
| September 11, 2017 Filed Sep 14, 2017 17:39 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseCommon Stock | 300 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-17-000236 · edgar.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,738 F1 · price: The shares were purchased at a weighted average price of approximately $6.383 per share. These shares were purchased in multiple transactions at prices ranging from $6.35 to $6.45, 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. Read SEC document |
| September 08, 2017 Filed Sep 11, 2017 11:21 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseWarrants · Derivative | 300 | Not disclosed Strike: $5.00 | Not disclosed |
DisclosureSEC source: 0001094891-17-000234 · edgar.xml · derivative · entry 11 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,100 Underlying: Common Stock · 300 shares Expires 2022-01-29 F3 · price: The warrants were purchased at a weighted average price of approximately $1.3167per warrant. These warrants were purchased in multiple transactions at prices ranging from $1.15 to $1.45, inclusive. The reporting person undertakes to provide 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 warrants purchased at each separate price within the ranges set forth this footnote to this Form 4. Read SEC document |
| September 08, 2017 Filed Sep 11, 2017 11:21 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseCommon Stock | 400 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-17-000234 · edgar.xml · nonDerivative · entry 2 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,438 F2 · price: The shares were purchased at a weighted average price of approximately $5.98 per share. These shares were purchased in multiple transactions at prices ranging from $5.73 to $6.25, 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. Read SEC document |
| September 07, 2017 Filed Sep 11, 2017 11:21 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseWarrants · Derivative | 200 | $1.20 Strike: $5.00 | $240.00 |
DisclosureSEC source: 0001094891-17-000234 · edgar.xml · derivative · entry 10 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,800 Underlying: Common Stock · 200 shares Expires 2022-01-29 Read SEC document |
| September 07, 2017 Filed Sep 11, 2017 11:21 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseCommon Stock | 850 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-17-000234 · edgar.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,038 F1 · price: The shares were purchased at a weighted average price of approximately $5.11297047 per share. These shares were purchased in multiple transactions at prices ranging from $4.74 to $5.95, 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. Read SEC document |
| September 06, 2017 Filed Sep 7, 2017 17:46 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseWarrants · Derivative | 800 | Not disclosed Strike: $5.00 | Not disclosed |
DisclosureSEC source: 0001094891-17-000229 · edgar.xml · derivative · entry 12 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,600 Underlying: Common Stock · 800 shares Expires 2022-01-29 F3 · price: The warrants were purchased at a weighted average price of approximately $1.20625 per warrant. These warrants were purchased in multiple transactions at prices ranging from $1.15 to $1.35, inclusive. The reporting person undertakes to provide 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 warrants purchased at each separate price within the ranges set forth this footnote to this Form 4. Read SEC document |
| September 06, 2017 Filed Sep 7, 2017 17:46 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseCommon Stock | 899 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-17-000229 · edgar.xml · nonDerivative · entry 2 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,188 F2 · price: The shares were purchased at a weighted average price of approximately $4.8544493882 per share. These shares were purchased in multiple transactions at prices ranging from $4.75 to $4.99, 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. Read SEC document |
| September 05, 2017 Filed Sep 7, 2017 17:46 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseWarrants · Derivative | 100 | $1.00 Strike: $5.00 | $100.00 |
DisclosureSEC source: 0001094891-17-000229 · edgar.xml · derivative · entry 11 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,800 Underlying: Common Stock · 100 shares Expires 2022-01-29 Read SEC document |
| September 05, 2017 Filed Sep 7, 2017 17:46 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseWarrants · Derivative | 100 | $0.98 Strike: $5.00 | $98.00 |
DisclosureSEC source: 0001094891-17-000229 · edgar.xml · derivative · entry 10 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,700 Underlying: Common Stock · 100 shares Expires 2022-01-29 Read SEC document |
| September 05, 2017 Filed Sep 7, 2017 17:46 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseCommon Stock | 800 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-17-000229 · edgar.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,289 F1 · price: The shares were purchased at a weighted average price of approximately $4.73875 per share. These shares were purchased in multiple transactions at prices ranging from $4.50 to $4.99, 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. Read SEC document |
| September 01, 2017 Filed Sep 5, 2017 11:53 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseWarrants · Derivative | 200 | Not disclosed Strike: $5.00 | Not disclosed |
DisclosureSEC source: 0001094891-17-000227 · edgar.xml · derivative · entry 15 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,600 Underlying: Common Stock · 200 shares Expires 2022-01-29 F7 · price: The warrants were purchased at a weighted average price of approximately $1.19 per warrant. These warrants were purchased in multiple transactions at prices ranging from $1.18 to $1.20, inclusive. The reporting person undertakes to provide 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 warrants purchased at each separate price within the ranges set forth this footnote to this Form 4. Read SEC document |
| September 01, 2017 Filed Sep 5, 2017 11:53 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseCommon Stock | 300 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-17-000227 · edgar.xml · nonDerivative · entry 4 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,489 F4 · price: The shares were purchased at a weighted average price of approximately $4.45666667 per share. These shares were purchased in multiple transactions at prices ranging from $4.39 to $4.50, 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. Read SEC document |
| August 31, 2017 Filed Sep 5, 2017 11:53 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseWarrants · Derivative | 1,700 | Not disclosed Strike: $5.00 | Not disclosed |
DisclosureSEC source: 0001094891-17-000227 · edgar.xml · derivative · entry 14 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,400 Underlying: Common Stock · 1,700 shares Expires 2022-01-29 F6 · price: The warrants were purchased at a weighted average price of approximately $1.0375 per warrant. These warrants were purchased in multiple transactions at prices ranging from $1.01 to $1.09, inclusive. The reporting person undertakes to provide 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 warrants purchased at each separate price within the ranges set forth this footnote to this Form 4. Read SEC document |
| August 31, 2017 Filed Sep 5, 2017 11:53 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseCommon Stock | 1,600 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-17-000227 · edgar.xml · nonDerivative · entry 3 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,189 F3 · price: The shares were purchased at a weighted average price of approximately $4.2725 per share. These shares were purchased in multiple transactions at prices ranging from $4.20 to $4.40, 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. Read SEC document |
| August 30, 2017 Filed Sep 5, 2017 11:53 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseWarrants · Derivative | 200 | $1.22 Strike: $5.00 | $244.00 |
DisclosureSEC source: 0001094891-17-000227 · edgar.xml · derivative · entry 13 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,700 Underlying: Common Stock · 200 shares Expires 2022-01-29 Read SEC document |
| August 30, 2017 Filed Sep 5, 2017 11:53 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseCommon Stock | 300 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-17-000227 · edgar.xml · nonDerivative · entry 2 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,589 F2 · price: The shares were purchased at a weighted average price of approximately $4.19666667 per share. These shares were purchased in multiple transactions at prices ranging from $4.19 to $4.20, 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. Read SEC document |
| August 29, 2017 Filed Sep 5, 2017 11:53 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseWarrants · Derivative | 1,200 | Not disclosed Strike: $5.00 | Not disclosed |
DisclosureSEC source: 0001094891-17-000227 · edgar.xml · derivative · entry 12 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,500 Underlying: Common Stock · 1,200 shares Expires 2022-01-29 F5 · price: The warrants were purchased at a weighted average price of approximately $1.4875 per warrant. These warrants were purchased in multiple transactions at prices ranging from $1.18 to $2.24, inclusive. The reporting person undertakes to provide 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 warrants purchased at each separate price within the ranges set forth this footnote to this Form 4. Read SEC document |
| August 29, 2017 Filed Sep 5, 2017 11:53 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseCommon Stock | 1,412 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-17-000227 · edgar.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,289 F1 · price: The shares were purchased at a weighted average price of approximately $4.19770538 per share. These shares were purchased in multiple transactions at prices ranging from $4.18 to $4.20, 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. Read SEC document |
| August 25, 2017 Filed Aug 29, 2017 22:34 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseWarrants · Derivative | 600 | Not disclosed Strike: $5.00 | Not disclosed |
DisclosureSEC source: 0001094891-17-000225 · edgar.xml · derivative · entry 9 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,300 Underlying: Common Stock · 600 shares Expires 2022-01-29 F2 · price: The warrants were purchased at a weighted average price of approximately $1.2467 per warrant. These warrants were purchased in multiple transactions at prices ranging from $1.23 to $1.25, inclusive. The reporting person undertakes to provide 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 warrants purchased at each separate price within the ranges set forth this footnote to this Form 4. Read SEC document |
| August 25, 2017 Filed Aug 29, 2017 22:34 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseCommon Stock | 900 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-17-000225 · edgar.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,877 F1 · price: The shares were purchased at a weighted average price of approximately $4.21416667 per share. These shares were purchased in multiple transactions at prices ranging from $4.14 to $4.50, 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. Read SEC document |
| August 24, 2017 Filed Aug 25, 2017 18:59 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseCommon Stock | 1,200 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-17-000221 · edgar.xml · nonDerivative · entry 2 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,977 F2 · price: The shares were purchased at a weighted average price of approximately $4.23 per share. These shares were purchased in multiple transactions at prices ranging from $4.00 to $4.20, 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. Read SEC document |
| August 23, 2017 Filed Aug 25, 2017 18:59 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseCommon Stock | 7,900 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-17-000221 · edgar.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,777 F1 · price: The shares were purchased at a weighted average price of approximately $4.21 per share. These shares were purchased in multiple transactions at prices ranging from $3.75 to $4.25, 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. Read SEC document |
| August 22, 2017 Filed Aug 25, 2017 18:56 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseCommon Stock | 1,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-17-000219 · edgar.xml · nonDerivative · entry 2 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,877 F2 · price: The shares were purchased at a weighted average price of approximately $4.18 per share. These shares were purchased in multiple transactions at prices ranging from $4.00 to $4.25, 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. Read SEC document |
| August 21, 2017 Filed Aug 25, 2017 18:56 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseCommon Stock | 7,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-17-000219 · edgar.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,377 F1 · price: The shares were purchased at a weighted average price of approximately $4.20 per share. These shares were purchased in multiple transactions at prices ranging from $4.00 to $4.25, 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. Read SEC document |
| August 18, 2017 Filed Aug 21, 2017 11:19 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseWarrants · Derivative | 100 | $1.50 Strike: $5.00 | $149.99 |
DisclosureSEC source: 0001094891-17-000209 · edgar.xml · derivative · entry 11 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,700 Underlying: Common Stock · 100 shares Expires 2022-01-29 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.