Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CONTRAFECT CorpCFRX · Entity 116797 | Director | May 17, 2022 | May 18, 2022 |
| Lucid Diagnostics Inc.LUCD · Entity 6375 | Director · Chief Executive Officer | February 20, 2026 | February 25, 2026 |
| PAVmed Inc.PAVM · Entity 7317 | Director · Chairman and CEO | April 02, 2026 | April 03, 2026 |
| Viveon Health Acquisition Corp.VHAQ · Entity 138648 | Director | December 23, 2020 | December 29, 2020 |
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.
CONTRAFECT Corp
Report date May 17, 2022 · Filed May 18, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.35 · Expires 2032-05-17 | Direct | 42,000 |
Reported balance
After 2022-05-17 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-05-17 · Grant · Acquired 42,000 · Balance 42,000 F1: Grant award made under the ContraFect Corporation 2014 Omnibus Incentive Plan. Grant vests over one year, 25% at the end of each quarter following the vesting commencement date. |
Filing footnotes · ownership attribution and instrument terms
F1: Grant award made under the ContraFect Corporation 2014 Omnibus Incentive Plan. Grant vests over one year, 25% at the end of each quarter following the vesting commencement date.
Lucid Diagnostics Inc.
Report date February 20, 2026 · Filed February 25, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,636,627 |
Reported balance
After 2026-02-20 transaction · row 1
1 source rowRow 1 · 2026-02-20 · Grant · Acquired 2,170,000 · Balance 3,636,627 F1: Represents restricted stock granted to the reporting person under the Issuer's 2018 Equity Plan with a single vesting date of May 20, 2029. Such restricted stock is subject to forfeiture if the requisite service period is not completed. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted stock granted to the reporting person under the Issuer's 2018 Equity Plan with a single vesting date of May 20, 2029. Such restricted stock is subject to forfeiture if the requisite service period is not completed.
PAVmed Inc.
Report date April 02, 2026 · Filed April 03, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 357,614 |
Reported balance
After 2026-04-02 transaction · row 1
1 source rowRow 1 · 2026-04-02 · Grant · Acquired 350,000 · Balance 357,614 F1: Represents restricted stock granted to the reporting person under the Issuer's Seventh Amended and Restated 2014 Long-Term Incentive Equity Plan with a single vesting date of May 20, 2029. Such restricted stock is subject to forfeiture if the requisite service period is not completed. |
| Common StockSEC Table I · non-derivative | IndirectBy daughter | 5 |
Reported balance
Holding disclosure · report date 2026-04-02 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 5 |
| Common StockSEC Table I · non-derivative | IndirectBy son | 5 |
Reported balance
Holding disclosure · report date 2026-04-02 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 5 |
| Common StockSEC Table I · non-derivative | IndirectBy Pavilion Venture Partners LLC | 9,904 |
Reported balance
Holding disclosure · report date 2026-04-02 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 9,904 F2: Dr. Aklog is a member and sole manager of Pavilion Venture Partners LLC, and therefore 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. |
| Common StockSEC Table I · non-derivative | IndirectBy HCFP/AG LLC | 45 |
Reported balance
Holding disclosure · report date 2026-04-02 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 45 F3: Dr. Aklog is a co-manager of HCFP/AG LLC, and therefore has 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted stock granted to the reporting person under the Issuer's Seventh Amended and Restated 2014 Long-Term Incentive Equity Plan with a single vesting date of May 20, 2029. Such restricted stock is subject to forfeiture if the requisite service period is not completed.
F2: Dr. Aklog is a member and sole manager of Pavilion Venture Partners LLC, and therefore 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.
F3: Dr. Aklog is a co-manager of HCFP/AG LLC, and therefore has 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.
Viveon Health Acquisition Corp.
Report date December 23, 2020 · Filed December 29, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | Direct | 27,000 |
Reported balance
After 2020-12-23 transaction · row 1
1 source rowRow 1 · 2020-12-23 · Other · Acquired 27,000 · Balance 27,000 F1: Represents founders shares transferred to Mr. Aklog from Viveon Health LLC, the sponsor of the Issuer, for Mr. Aklog's service as an independent director of the Issuer. There was no consideration paid in the transfer. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents founders shares transferred to Mr. Aklog from Viveon Health LLC, the sponsor of the Issuer, for Mr. Aklog's service as an independent director of the Issuer. There was no consideration paid in the transfer.
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 02, 2026 Filed Apr 3, 2026 22:53 UTC | PAVmed Inc. PAVM · Entity 7317 | GrantCommon Stock | 350,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001094891-26-000165 · form4.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 357,614 F1 · shares: Represents restricted stock granted to the reporting person under the Issuer's Seventh Amended and Restated 2014 Long-Term Incentive Equity Plan with a single vesting date of May 20, 2029. Such restricted stock is subject to forfeiture if the requisite service period is not completed. Read SEC document |
| February 20, 2026 Filed Feb 25, 2026 00:00 UTC | Lucid Diagnostics Inc. LUCD · Entity 6375 | GrantCommon Stock | 2,170,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001094891-26-000083 · form4.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,636,627 F1 · shares: Represents restricted stock granted to the reporting person under the Issuer's 2018 Equity Plan with a single vesting date of May 20, 2029. Such restricted stock is subject to forfeiture if the requisite service period is not completed. Read SEC document |
| September 30, 2025 Filed Oct 2, 2025 20:09 UTC | PAVmed Inc. PAVM · Entity 7317 | GrantCommon Stock | 150,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001094891-25-000039 · form4.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 228,418 F1 · shares: Represents restricted stock granted to the reporting person under the issuer's Sixth Amended and Restated 2014 Long-Term Incentive Equity Plan with a single vesting date of May 20, 2028. Such restricted stock is subject to forfeiture if the requisite service period is not completed. F1 · price: Represents restricted stock granted to the reporting person under the issuer's Sixth Amended and Restated 2014 Long-Term Incentive Equity Plan with a single vesting date of May 20, 2028. Such restricted stock is subject to forfeiture if the requisite service period is not completed. Read SEC document |
| February 20, 2025 Filed Feb 21, 2025 22:46 UTC | Lucid Diagnostics Inc. LUCD · Entity 6375 | GrantCommon Stock | 300,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-25-003218 · form4.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,466,627 F1 · shares: Represents restricted stock granted to the reporting person under the Issuer's 2018 Equity Plan with a single vesting date of May 20, 2028. Such restricted stock is subject to forfeiture if the requisite service period is not completed. F2 · balance_after: Includes 142,227 shares of Lucid common stock distributed by PAVmed on February 15, 2024 to Dr. Aklog, representing his share of the shares of Lucid common stock distributed by PAVmed to its shareholders on a pro rata basis on such date. Read SEC document |
| May 07, 2024 Filed May 8, 2024 20:00 UTC | Lucid Diagnostics Inc. LUCD · Entity 6375 | GrantCommon stock | 400,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-009637 · form4.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,166,627 F1 · shares: Represents restricted stock granted to the reporting person under the Issuer's 2018 Equity Plan with a single vesting date of May 20, 2026. Such restricted stock is subject to forfeiture if the requisite service period is not completed. F2 · balance_after: Includes 142,227 shares of Lucid common stock distributed by PAVmed on February 15, 2024 to Dr. Aklog, representing his share of the shares of Lucid common stock distributed by PAVmed to its shareholders on a pro rata basis on such date. Read SEC document |
| May 17, 2022 Filed May 18, 2022 21:53 UTC | CONTRAFECT Corp CFRX · Entity 116797 | GrantOptions (Right to Buy) · Derivative | 42,000 | $3.35 Strike: $3.35 | $140,700.00 |
DisclosureSEC source: 0001209191-22-030183 · doc4.xml · derivative · entry 1 Aklog Lishan · CIK 0001665074 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,000 Underlying: Common Stock · 42,000 shares Expires 2032-05-17 F1 · derivative.exercise_date: Grant award made under the ContraFect Corporation 2014 Omnibus Incentive Plan. Grant vests over one year, 25% at the end of each quarter following the vesting commencement date. Read SEC document |
| March 28, 2022 Filed Apr 11, 2022 22:24 UTC | PAVmed Inc. PAVM · Entity 7317 | Tax withholdingCommon stock | 79,636 | $1.18 | $93,970.48 |
DisclosureSEC source: 0001062993-22-010063 · form4.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 176,277 F1 · kind: Payment of payroll withholding tax liability using a portion of securities received from the company. F1 · shares: Payment of payroll withholding tax liability using a portion of securities received from the company. F1 · price: Payment of payroll withholding tax liability using a portion of securities received from the company. Read SEC document |
| February 18, 2022 Filed Feb 24, 2022 01:13 UTC | Lucid Diagnostics Inc. LUCD · Entity 6375 | GrantEmployee stock option (right to buy) · Derivative | 75,000 | $0.00 Strike: $3.95 | $0.00 |
DisclosureSEC source: 0001062993-22-005482 · form4.xml · derivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common stock · 75,000 shares Expires 2032-02-18 F1 · derivative.exercise_date: The option vests in 12 quarterly installments, with first installment vesting March 31, 2022. Read SEC document |
| February 18, 2022 Filed Feb 24, 2022 01:13 UTC | PAVmed Inc. PAVM · Entity 7317 | GrantEmployee stock option (right to buy) · Derivative | 200,000 | $0.00 Strike: $1.59 | $0.00 |
DisclosureSEC source: 0001062993-22-005481 · form4.xml · derivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common stock · 200,000 shares Expires 2032-02-18 F1 · derivative.exercise_date: The option vests in 12 quarterly installments, with first installment vesting March 31, 2022. Read SEC document |
| January 07, 2022 Filed Jan 11, 2022 01:06 UTC | Lucid Diagnostics Inc. LUCD · Entity 6375 | GrantCommon stock | 60,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-000907 · form4.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 624,400 F1 · shares: Represents restricted stock granted to the reporting person under the Issuer's 2018 Equity Plan with a single vesting date of January 7, 2025. Such restricted stock is subject to forfeiture if the requisite service period is not completed. Read SEC document |
| May 18, 2021 Filed May 20, 2021 23:36 UTC | CONTRAFECT Corp CFRX · Entity 116797 | GrantOptions (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $3.86 | $0.00 |
DisclosureSEC source: 0001209191-21-034638 · doc4.xml · derivative · entry 1 Aklog Lishan · CIK 0001665074 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2031-05-18 F1 · derivative.exercise_date: Grant award made under the ContraFect Corporation Omnibus Incentive Plan. Grant vests over one year, 25% at the end of each quarter following the vesting commencement date. Read SEC document |
| April 01, 2021 Filed Apr 5, 2021 21:09 UTC | PAVmed Inc. PAVM · Entity 7317 | GrantCommon Stock | 150,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001094891-21-000165 · edgar.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,255,913 F1 · price: Dr. Aklog was granted 150,000 shares of restricted stock pursuant to the issuer's long term incentive plan. Read SEC document |
| March 18, 2021 Filed Mar 19, 2021 17:07 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseCommon Stock | 7,500 | $4.31 | $32,323.50 |
DisclosureSEC source: 0001094891-21-000143 · edgar.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 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: 1,105,913 Read SEC document |
| December 23, 2020 Filed Dec 29, 2020 00:48 UTC | Viveon Health Acquisition Corp. VHAQ · Entity 138648 | OtherCommon Stock, par value $0.0001 per share | 27,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-20-044963 · ownership.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,000 F1 · shares: Represents founders shares transferred to Mr. Aklog from Viveon Health LLC, the sponsor of the Issuer, for Mr. Aklog's service as an independent director of the Issuer. There was no consideration paid in the transfer. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 20:51 UTC | CONTRAFECT Corp CFRX · Entity 116797 | GrantOptions (Right to Buy) · Derivative | 16,000 | $0.00 Strike: $5.77 | $0.00 |
DisclosureSEC source: 0001209191-20-037291 · doc4.xml · derivative · entry 1 Aklog Lishan · CIK 0001665074 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,000 Underlying: Common Stock · 16,000 shares Expires 2030-06-14 F1 · derivative.exercise_date: The option vests as to 1/4 of the total shares upon grant and then 1/4 of the total shares vest annually thereafter, subject to continued service to the issuer through each vesting date. Read SEC document |
| April 30, 2020 Filed May 4, 2020 21:25 UTC | PAVmed Inc. PAVM · Entity 7317 | GrantCommon Stock | 250,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001094891-20-000066 · edgar.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 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: 1,098,413 F1 · price: The issuer granted 250,000 shares of restricted stock to the reporting person pursuant to its long term incentive equity plan. Read SEC document |
| May 23, 2019 Filed May 28, 2019 20:03 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseCommon Stock | 30,000 | $1.10 | $32,850.00 |
DisclosureSEC source: 0001094891-19-000121 · edgar.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 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: 848,413 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from 1.07 to $1.11 per share, inclusive. The reporting person undertakes to provide to PAVmed Inc., any security holder of PAVmed Inc., or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:18 UTC | PAVmed Inc. PAVM · Entity 7317 | GrantCommon Stock | 200,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001094891-19-000093 · edgar.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 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: 818,413 F1 · price: The issuer granted 200,000 shares of restricted stock to the reporting person pursuant to its long term incentive equity plan. Read SEC document |
| August 28, 2018 Filed Aug 28, 2018 21:27 UTC | PAVmed Inc. PAVM · Entity 7317 | PurchaseCommon Stock | 30,000 | $1.18 | $35,400.00 |
DisclosureSEC source: 0001094891-18-000164 · edgar.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 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: 618,413 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.17 to $1.20 per share, inclusive. The reporting person undertakes to provide to PAVmed Inc., any security holder of PAVmed Inc., or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4. Read SEC document |
| June 26, 2018 Filed Jul 11, 2018 21:42 UTC | PAVmed Inc. PAVM · Entity 7317 | OtherSeries Z Warrants · Derivative | 968,019 | Not disclosed Strike: $1.60 | Not disclosed |
DisclosureSEC source: 0001094891-18-000152 · edgar.xml · derivative · entry 11 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 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: 2,078,285 Underlying: Common Stock · 2,078,285 shares Expires 2024-04-30 F5 · price: The Series Z Warrants were contributed to such entity by its members for no consideration. The contributed Series Z Warrants include 322,673 Series Z Warrants that were previously held indirectly by Dr. Aklog through HCFP/Capital Partners III LLC and became held directly by Dr. Aklog on June 26, 2016. F2 · 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 |
| June 12, 2018 Filed Jul 11, 2018 21:42 UTC | PAVmed Inc. PAVM · Entity 7317 | OtherSeries Z Warrants · Derivative | 980 | Not disclosed Strike: $1.60 | Not disclosed |
DisclosureSEC source: 0001094891-18-000152 · edgar.xml · derivative · entry 10 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 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: 980 Underlying: Common Stock · 980 shares Expires 2024-04-30 F1 · price: The reporting person purchased units from the issuer in the issuer's equity rights offering, each unit consisting of one share of the issuer's common stock and one Series Z Warrant, at a price of $1.15 per unit. Read SEC document |
| June 12, 2018 Filed Jul 11, 2018 21:42 UTC | PAVmed Inc. PAVM · Entity 7317 | OtherSubscription Rights (Right to Buy) · Derivative | 980 | $0.00 Strike: $1.15 | $0.00 |
DisclosureSEC source: 0001094891-18-000152 · edgar.xml · derivative · entry 9 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 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: 0 Underlying: Units (1 share of Common Stock and 1 Series Z Warrant) · 980 shares Expires 2018-06-12 Read SEC document |
| June 12, 2018 Filed Jul 11, 2018 21:42 UTC | PAVmed Inc. PAVM · Entity 7317 | OtherSeries Z Warrants · Derivative | 1,018 | Not disclosed Strike: $1.60 | Not disclosed |
DisclosureSEC source: 0001094891-18-000152 · edgar.xml · derivative · entry 8 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 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: 1,018 Underlying: Common Stock · 1,018 shares Expires 2024-04-30 F1 · price: The reporting person purchased units from the issuer in the issuer's equity rights offering, each unit consisting of one share of the issuer's common stock and one Series Z Warrant, at a price of $1.15 per unit. Read SEC document |
| June 12, 2018 Filed Jul 11, 2018 21:42 UTC | PAVmed Inc. PAVM · Entity 7317 | OtherSubscription Rights (Right to Buy) · Derivative | 1,018 | $0.00 Strike: $1.15 | $0.00 |
DisclosureSEC source: 0001094891-18-000152 · edgar.xml · derivative · entry 7 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 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: 0 Underlying: Units (1 share of Common Stock and 1 Series Z Warrant) · 1,018 shares Expires 2018-06-12 Read SEC document |
| June 12, 2018 Filed Jul 11, 2018 21:42 UTC | PAVmed Inc. PAVM · Entity 7317 | OtherCommon Stock | 980 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-18-000152 · edgar.xml · nonDerivative · entry 3 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 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: 2,280 F1 · price: The reporting person purchased units from the issuer in the issuer's equity rights offering, each unit consisting of one share of the issuer's common stock and one Series Z Warrant, at a price of $1.15 per unit. Read SEC document |
| June 12, 2018 Filed Jul 11, 2018 21:42 UTC | PAVmed Inc. PAVM · Entity 7317 | OtherCommon Stock | 1,018 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-18-000152 · edgar.xml · nonDerivative · entry 2 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 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: 2,303 F1 · price: The reporting person purchased units from the issuer in the issuer's equity rights offering, each unit consisting of one share of the issuer's common stock and one Series Z Warrant, at a price of $1.15 per unit. Read SEC document |
| April 20, 2018 Filed Jul 11, 2018 21:42 UTC | PAVmed Inc. PAVM · Entity 7317 | GiftSeries Z Warrants · Derivative | 12,450 | $0.00 Strike: $1.60 | $0.00 |
DisclosureSEC source: 0001094891-18-000152 · edgar.xml · derivative · entry 6 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 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: 363,313 Underlying: Common Stock · 12,450 shares Expires 2024-04-30 F4 · balance_after: Reflects 350,538 Series Z Warrants that previously were held indirectly by Dr. Aklog through HCFP/Capital Partners III LLC, and became held directly by Dr. Aklog on June 26, 2018. Read SEC document |
| 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.