Current Report Filing (8-k)
March 03 2021 - 9:30AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
WASHINGTON,
DC 20549
FORM
8-K
CURRENT
REPORT
PURSUANT
TO SECTION 13 OR 15(d) OF THE
SECURITIES
EXCHANGE ACT OF 1934
Date
of Report (Date of earliest event reported): March 2, 2021
PAVMED
INC.
|
(Exact
Name of Registrant as Specified in Charter)
|
Delaware
|
|
001-37685
|
|
47-1214177
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(State
or Other Jurisdiction
of
Incorporation)
|
|
(Commission
File
Number)
|
|
(IRS
Employer
Identification
No.)
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One
Grand Central Place, Suite 4600, New York, New York
|
|
10165
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(Address
of Principal Executive Offices)
|
|
(Zip
Code)
|
Registrant’s
telephone number, including area code: (212) 949-4319
N/A
|
(Former
Name or Former Address, if Changed Since Last Report)
|
Check
the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant
under any of the following provisions (see General Instruction A.2. below):
[ ]
|
Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425).
|
|
|
[ ]
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12).
|
|
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[ ]
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)).
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[ ]
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)).
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Securities
registered pursuant to Section 12(b) of the Act:
Title
of each class
|
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Trading
Symbol(s)
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Name
of each exchange on which registered
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Common
Stock, Par Value $0.001 Per Share
|
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PAVM
|
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The
Nasdaq Stock Market LLC
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Series
Z Warrants to Purchase Common Stock
|
|
PAVMZ
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The
Nasdaq Stock Market LLC
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Series
W Warrants to Purchase Common Stock
|
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PAVMW
|
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The
Nasdaq Stock Market LLC
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Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
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. [ ]
Item
1.02.
|
Termination
of a Material Definitive Agreement.
|
On
March 2, 2021, PAVmed Inc. (the “Company”) repaid in full those certain outstanding convertible notes (the “Notes”)
issued by the Company and held by Alto Opportunity Master Fund, SPC-Segregated Master Portfolio B (the “Alto B”),
which Notes represented all of the Company’s outstanding convertible debt. The amount of the repayment was $14,466,250.
The
Notes had been issued on April 30, 2020 and August 6, 2020 in private placements pursuant to Securities Purchase Agreements with
Alto B dated April 30, 2020 and August 5, 2020, respectively. Upon receipt of the repayment, all obligations of the Company under
the Notes were deemed satisfied.
Item
9.01.
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Financial
Statements and Exhibits.
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|
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(d)
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Exhibits:
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SIGNATURE
Pursuant
to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf
by the undersigned hereunto duly authorized.
Dated:
March 3, 2021
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PAVMED
INC.
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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
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