Item 5. Other Information
Item
5. Other Information
None
Item
6. Exhibits
The
exhibits filed as part of this Quarterly Report on Form 10-Q are set forth in the “ Exhibit Index ” below.
50
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 22, 2021
By:
/s/
Dennis M. McGrath
Dennis
M. McGrath
President
and Chief Financial Officer
(Principal
Financial and Accounting Officer)
51
EXHIBIT
INDEX
Exhibit
No.
Description
3.1
Certificate
of Incorporation (1)
3.2
Certificate
of Amendment to Certificate of Incorporation (1)
3.3
Certificate
of Amendment to Certificate of Incorporation, dated October 1, 2018 (6)
3.4
Certificate
of Amendment to Certificate of Incorporation, dated June 26, 2019 (7)
3.5
Certificate
of Amendment to Certificate of Incorporation, dated July 24, 2020 (10)
3.6
Form
of Certificate of Designation of Preferences, Rights and Limitations of Series B Convertible Preferred Stock (8)
3.7
Certificate
of Elimination - Series A Convertible Preferred Stock and Series A-1 Convertible Preferred Stock (4)
3.8
PAVmed
Inc. Amended and Restated Bylaws (9)
4.1
Specimen
PAVmed Inc. Common Stock Certificate (1)
4.2
Specimen
PAVmed Inc. Series W Warrant Certificate (1)
4.3
Series
W Warrant Agreement, dated April 28, 2016, between Continental Stock Transfer & Trust Company and the Registrant (2)
4.4
Specimen
PAVmed Inc. Series Z Warrant Certificate (3)
4.5
Amended
and Restated Series Z Warrant Agreement, dated as of June 8, 2018, by and between PAVmed Inc. and Continental Stock Transfer &
Trust Company, as Warrant Agent (5)
10.1
License Agreement, dated as of May 20, 2019, by and between PAVmed Inc. and Lucid Diagnostics Inc. (11)
10.2.1
Management Services Agreement, dated as of May 12, 2018, by and between PAVmed Inc. and Lucid Diagnostics Inc. (11)
10.2.2
Amendment to Management Services Agreement, dated as of March 1, 2019, by and between PAVmed Inc. and Lucid Diagnostics Inc. (11)
10.2.3
Second Amendment to Management Services Agreement, dated as of June 5, 2019, by and between PAVmed Inc. and Lucid Diagnostics Inc. (11)
10.2.4
Third Amendment to Management Services Agreement, dated as of July 20, 2020, by and between PAVmed Inc. and Lucid Diagnostics Inc. (11)
10.2.5
Fourth Amendment to Management Services Agreement, dated as of February 1, 2021, by and between PAVmed Inc. and Lucid Diagnostics Inc. (11)
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
104
Cover
Page Interactive Data File (embedded within the Inline XBRL document)
†
Filed
herewith
(1)
Incorporated
by reference to the Registrant’s Registration Statement on Form S-1 - SEC File No. 333-203569
(2)
Incorporated
by reference to the Registrant’s Current Report on Form 8-K filed May 3, 2016.
(3)
Incorporated
by reference to the Registrant’s Current Report on Form 8-K filed April 5, 2018.
(4)
Incorporated
by reference to the Registrant’s Current Report on Form 8-K/A filed April 20, 2018.
(5)
Incorporated
by reference to the Registrant’s Current Report on Form 8-K filed June 8, 2018.
(6)
Incorporated
by reference to the Registrant’s Current Report on Form 8-K filed October 2, 2018.
(7)
Incorporated
by reference to the Registrant’s Definitive Proxy Statement on Schedule 14A filed April 30, 2019
(8)
Incorporated
by reference to the Registrant’s Current Report on Form 8-K filed June 27, 2019.
(9)
Incorporated
by reference to the Registrant’s Current Report on Form 8-K filed January 15, 2021.
(10)
Incorporated
by reference to the Registrant’s Definitive Proxy Statement on Schedule 14A filed June 11, 2020
(11)
Incorporated by reference to the Lucid Diagnostics Inc.’
Registration Statement on Form S-1 - SEC File No. 333-259721
52
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.