PAVmed Inc.|4Jul 11, 5:42 PM ET

Aklog Lishan 4

4 · PAVmed Inc. · Filed Jul 11, 2018

Form 4

Period: 2018-06-12

DirectorChairman and CEO

Transactions

Exercise of In-Money
Subscription Rights (Right to Buy)
2018-06-12−980→ 0 total(indirect: By son)
Exercise: $1.15From: 2018-05-23Exp: 2018-06-12→ Units (1 share of Common Stock and 1 Series Z Warrant) (980 underlying)
Exercise of In-Money
Common Stock
2018-06-12+980→ 2,280 total(indirect: By son)
Gift
Series Z Warrants
2018-04-20−12,450→ 363,313 total
Exercise: $1.60From: 2018-04-05Exp: 2024-04-30→ Common Stock (12,450 underlying)
Exercise of In-Money
Series Z Warrants
2018-06-12+980→ 980 total(indirect: By son)
Exercise: $1.60From: 2018-04-05Exp: 2024-04-30→ Common Stock (980 underlying)
Exercise of In-Money
Subscription Rights (Right to Buy)
2018-06-12−1,018→ 0 total(indirect: By daughter)
Exercise: $1.15From: 2018-05-23Exp: 2018-06-12→ Units (1 share of Common Stock and 1 Series Z Warrant) (1,018 underlying)
Exercise of In-Money
Series Z Warrants
2018-06-12+1,018→ 1,018 total(indirect: By daughter)
Exercise: $1.60From: 2018-04-05Exp: 2024-04-30→ Common Stock (1,018 underlying)
Exercise of In-Money
Common Stock
2018-06-12+1,018→ 2,303 total(indirect: By daughter)
Other
Series Z Warrants
2018-06-26+968,019→ 2,078,285 total(indirect: By LLC)
Exercise: $1.60From: 2018-04-05Exp: 2024-04-30→ Common Stock (2,078,285 underlying)

Holdings

Common Stock
(indirect: By LLC)
4,456,570
Series Z Warrants
(indirect: By LLC)
Exercise: $1.60From: 2018-04-05Exp: 2024-04-30→ Common Stock (10,000 underlying)
10,000
Common Stock
588,413
Common Stock
(indirect: By LLC)
20,000

Footnotes (5)

[F1]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.
[F2]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.
[F3]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.
[F4]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.
[F5]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.

Documents

1 file