Amended Statement of Beneficial Ownership (3/a)
01 Maggio 2023 - 2:59PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
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3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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O'Neil Shaun |
2. Date of Event Requiring Statement (MM/DD/YYYY)
2/22/2022
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3. Issuer Name and Ticker or Trading Symbol
PAVmed Inc. [PAVM]
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(Last)
(First)
(Middle)
360 MADISON AVENUE, 25TH FLOOR |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Operating Officer / |
(Street)
NEW YORK, NY 10017
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY) 2/24/2022
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common stock (1) | 288954 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee stock option (right to buy) | (2) | 7/23/2028 | Common stock | 195108 | $1.58 | D | |
Employee stock option (right to buy) | (2) | 3/6/2029 | Common stock | 100000 | $1 | D | |
Employee stock option (right to buy) | (2) | 3/31/2031 | Common stock | 75000 | $4.44 | D | |
Explanation of Responses: |
(1) | Includes 225,000 shares of restricted stock granted to the reporting person pursuant to the issuer's long term incentive equity plan. |
(2) | All options vest as to 1/12 of the shares on the first calendar quarter end after the grant date (i.e., on 9/30/18, 3/31/19 and 6/30/21 for the options expiring on 7/23/28, 3/6/29 and 3/31/31 respectively) and as to an additional 1/12 of the shares on each successive calendar quarter end thereafter. |
Remarks: This amendment was filed solely to correct (i) the number of shares of common stock held by the reporting person at the time of his appointment as a Section 16 officer of the issuer, as reflected in Table I and (ii) the expiration date of certain of the employee stock options reflected in Table II. The Form 4 filed by the reporting person 2/24/22 has not been amended to reflect the correction to Table I. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
O'Neil Shaun 360 MADISON AVENUE, 25TH FLOOR NEW YORK, NY 10017 |
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| Chief Operating Officer |
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Signatures
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/s/ Shaun O'Neil | | 5/1/2023 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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