PAVmed Inc. 10-Q

Item 5. Other Information Subsequent to September 30, 2020, effective November 6, 2020, the Company entered into a waiver agreement with the holder of the April 2020 Senior Convertible Note and the August 2020 Senior Secured Convertible Note. Prior to the waiver agreement, the noteholder had the right, at any time from and after October 30, 2020, in its sole discretion, to require the Company to redeem all, or any portion, of the respective convertible notes. Under the waiver agreement, so long as no event of default has occurred and is continuing under the convertible notes (unless waived in writing by the holder of the convertible notes), the noteholder waived this redemption right until November 30, 2020. Furthermore, the waiver will be automatically extended for additional one-month periods, unless the noteholder delivers notice to us of an election to terminate the waiver prior to the then-current end date for the waiver. Item 6. Exhibits The exhibits filed as part of this Quarterly Report on Form 10-Q are set forth in the “ Exhibit Index ” below. 33 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: November 6, 2020 By: /s/ Dennis M. McGrath Dennis M. McGrath President and Chief Financial Officer (Principal Financial and Accounting Officer) 34 EXHIBIT INDEX Exhibit No. Description 3.1 Certificate of Amendment to the Certificate of Incorporation dated July 24, 2020. (1) 10.1 Form of Securities Purchase Agreement dated August 6, 2020. (2) 10.2 Form of Senior Convertible Note dated August 6, 2020. (2) 10.3 Form of Amended and Restated Security Agreement dated August 6, 2020. (2) 10.4 Form of Amended and Restated Guaranty dated August 6, 2020. (2) 31.1 Certification of Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. † 31.2 Certification of Principal Financial and Accounting Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. † 32.1 Certification of Principal Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. † 32.2 Certification of Principal Financial and Accounting Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. † 101.INS XBRL Instance Document 101.SCH XBRL Taxonomy Extension Schema 101.CAL Taxonomy Extension Calculation Linkbase 101.DEF XBRL Taxonomy Extension Definition Linkbase 101.LAB XBRL Taxonomy Extension Label Linkbase 101.PRE XBRL Taxonomy Extension Presentation Linkbase † Filed herewith (1) Incorporated by reference to the Current Report on Form 8-K filed by the Company on July 27, 2020. (2) Incorporated by reference to the Current Report on Form 8-K filed by the Company on August 6, 2020. 35