Amended Quarterly Report (10-q/a)
September 30 2019 - 4:31PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
DC 20549
FORM
10-Q/A
(Amendment
No. 1)
(Mark
One)
[X]
|
QUARTERLY
REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
|
For
the quarterly period ended March 31, 2019
OR
[ ]
|
TRANSITION
REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
|
For
the transition period from to
Commission
File Number: 001-37685
PAVmed
Inc.
(Exact
Name of Registrant as Specified in Its Charter)
Delaware
|
|
47-1214177
|
(State
or Other Jurisdiction of
Incorporation or Organization)
|
|
(IRS
Employer
Identification No.)
|
One
Grand Central Place
Suite 4600
New York, NY
(Address
of Principal Executive Offices)
|
|
10165
(Zip
Code)
|
(212)
949-4319
(Registrant’s Telephone Number, Including Area Code)
Securities
registered under Section 12(b) of the Exchange Act:
Title
of each class
|
|
Name
of each exchange on which registered
|
Common
Stock, $0.001 par value per share
|
|
The
NASDAQ Stock Market LLC
|
Series
Z Warrants, each to purchase one share of Common Stock
|
|
The
NASDAQ Stock Market LLC
|
Series
W Warrants, each to purchase one share of Common Stock
|
|
The
NASDAQ Stock Market LLC
|
Securities
registered under Section 12(g) of the Exchange Act: None
Indicate
by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange
Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports),
and (2) has been subject to such filing requirements for the past 90 days. Yes [X] No [ ]
Indicate
by check mark whether the registrant has submitted electronically Interactive Data File required to be submitted pursuant to Rule
405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant
was required to submit such files). Yes [X] No [ ]
Indicate
by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller
reporting company. See the definitions of “large accelerated filer”, “accelerated filer,” “smaller
reporting company” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
Large
accelerated filer
|
[ ]
|
Accelerated
filer
|
[ ]
|
Non-accelerated
filer
|
[ ]
|
Smaller
reporting company
|
[X]
|
|
|
Emerging
growth company
|
[X]
|
If
an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for
complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. [ ]
Indicate
by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes [ ] No [X]
As
of May 14, 2019 there were 31,376,627 shares of the registrant’s Common Stock, par value $0.001 per share, outstanding.
EXPLANATORY
NOTE
This
Amendment No. 1 on Form 10-Q/A (the “Amendment”) to the Quarterly Report on Form 10-Q of PAVmed Inc. (the “Company”)
for the fiscal quarter ended March 31, 2019, originally filed with the Securities and Exchange Commission (the “SEC”)
on May 15, 2019 (the “Original Filing”), is being filed solely to include revised Exhibits 31.1 and 31.2, which include
certain statements required by Item 601(b)(31) of Regulation S-K inadvertently omitted by the Company when previously filed. This
Amendment contains only the cover page, explanatory note, the exhibit index, signature page and the revised certifications. Because
no financial statements are included with this Amendment, paragraph 3 of the Section 302 certifications has been omitted.
Except
for the foregoing, this Amendment does not alter or update any other information contained in the Original Filing. The Original
Filing continues to speak as of the date of the Original Filing, and the Company has not updated the disclosures contained therein
to reflect any events that have occurred as of a date subsequent to the date of the Original Filing. Accordingly, this Amendment
should be read in conjunction with the Original Filing, and the Company’s filings made with the SEC subsequent to the filing
of the Original Filing.
PART
II. OTHER INFORMATION
Item
6. Exhibits
The
exhibits filed as part of this Quarterly Report on Form 10-Q are set forth in the Exhibit Index below.
EXHIBIT
INDEX
†
Filed herewith
SIGNATURE
Pursuant
to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report
to be signed on its behalf by the undersigned, thereunto duly authorized.
|
PAVmed
Inc.
|
|
|
|
Date:
September 30, 2019
|
By:
|
/s/
Dennis M. McGrath
|
|
|
Dennis
M. McGrath
President
and Chief Financial Officer
(Principal
Financial and Accounting Officer)
|
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