Amended Quarterly Report (10-q/a)
September 30 2019 - 4:36PM
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 JUNE 30, 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
|
|
10165
|
(Address of Principal
Executive Offices)
|
|
(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 August 12, 2019 there were 35,061,149 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 June 30, 2019, originally filed with the Securities and Exchange Commission (the “SEC”)
on August 14, 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.
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PAVmed
Inc.
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|
|
|
Date:
September 30, 2019
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By:
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/s/
Dennis M. McGrath
|
|
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Dennis M. McGrath
|
|
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President and Chief
Financial Officer
|
|
|
(Principal Financial
and Accounting Officer)
|
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