SEC Form 5 · accession 0001094891-19-000046
PAVmed Inc. · PAVM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dennis M McGrath
Officer — EVP & CFO
Period of report
Dec 31, 2018
Accepted (ET)
Feb 4, 2019 · 5:04 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001624326
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 12, 2018 | X | 12,000 | — | A | 24,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series Z WarrantsF1 | $1.60 | Jun 12, 2018 | X | 12,000 | A | Apr 5, 2018 | Apr 30, 2024 | Common Stock | 12,000 | 12,000 | D |
| Subscription Rights (Right to Buy) | $1.15 | Jun 12, 2018 | X | 12,000 | D | May 23, 2018 | Jun 12, 2018 | Units (1 share of Common Stock and 1 Series Z Warrant) | 12,000 | 0 | D |
Explanation of responses
- F1The 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.