SEC Form 5 · accession 0001144204-18-008836
PAVmed Inc. · PAVM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ira Scott Greenspan
Director · 10% Owner
Period of report
Dec 31, 2017
Accepted (ET)
Feb 14, 2018 · 3:41 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 | Dec 21, 2017 | G | 246,000 | $0.00 | D | 1,306,246 | D | |
| Common StockF2,F3 | Dec 21, 2017 | J | 5,646,562 | — | D | 0 | I | By HCFP/Capital Partners III LLC |
| Common StockF4 | Dec 21, 2017 | J | 846,984 | — | A | 846,984 | I | By HCFP Inc. |
| Common StockF5 | holding | — | — | — | 20,000 | I | By HCFP/AG LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects 1,523,781 shares of Common Stock that were previously held through HCFP/Capital Partners LLC, and became directly held on December 21, 2017.
- F2The shares of Common Stock were distributed pro rata by such entity to its equity holders for no consideration.
- F3Mr. Greenspan is a member and Co-Manager of HCFP/Capital Partners III LLC, and shares joint voting and dispositive power over the shares held by this entity. Mr. Greenspan disclaims beneficial ownership of shares held by this entity, except to the extent of his proportionate pecuniary interest therein.
- F4Reflects 846,984 shares of Common Stock that were previously held through HCFP/Capital Partners LLC, and became directly held on December 21, 2017. Mr. Greenspan is Chairman and Chief Executive Officer of this entity, and shares voting and dispositive power over the shares held by this entity. Mr. Greenspan disclaims beneficial ownership of shares held by this entity, except to the extent of his proportionate pecuniary interest therein.
- F5Mr. Greenspan is a co-manager of HCFP/AG LLC, and shares joint voting and dispositive power over the shares held by this entity. Mr. Greenspan disclaims beneficial ownership of shares held by this entity, except to the extent of his pecuniary interest therein.