PAVmed Inc
For the period ended Dec 31, 2023. Filed Mar 25, 2024.
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FY2023 · Filed Mar 25, 2024
PAVM$1.56-4.3%Stored close · as of Nov 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 15. Exhibits and Financial Statement Schedules
| (a) | The following documents filed as a part of the report: |
| (1) | The following financial statements: |
| Report of Independent Registered Public Accounting Firm (PCAOB ID#688) | |
| Consolidated Balance Sheets | |
| Consolidated Statements of Operations | |
| Consolidated Statements of Changes in Stockholders’ Equity (Deficit) | |
| Consolidated Statements of Cash Flows | |
| Notes to Consolidated Financial Statements | |
| (2) | The financial statement schedules: |
| Schedules other than those listed above are omitted for the reason they are not required or are not applicable, or the required information is shown in the financial statements or notes thereto. Columns omitted from schedules filed have been omitted because the information is not applicable. | |
| (3) | The following exhibits: |
| Incorporation by Reference | ||||
|---|---|---|---|---|
| Exhibit No. | Description | Form | Exhibit No. | Date |
| 2.1 | Asset Purchase Agreement, dated as of February 25, 2022, by and among LucidDx Labs Inc., Lucid Diagnostics Inc. and ResearchDx, Inc. | 8-K (LUCD) | 2.1 | 3/3/22 |
| 3.1.1 | Certificate of Incorporation | S-1 | 3.1 | 4/22/15 |
| 3.1.2 | Certificate of Amendment to Certificate of Incorporation | S-1 | 3.2 | 4/22/15 |
| 3.1.3 | Certificate of Amendment to Certificate of Incorporation, dated October 1, 2018 | 8-K | 3.1 | 10/2/18 |
| 3.1.4 | Certificate of Amendment to Certificate of Incorporation, dated June 26, 2019 | 8-K | 3.1 | 6/27/19 |
| 3.1.5 | Certificate of Amendment to Certificate of Incorporation, dated July 24, 2020 | 8-K | 3.1 | 7/27/20 |
| 3.1.6 | Certificate of Amendment to Certificate of Incorporation, dated June 21, 2022 | 8-K | 3.1 | 6/22/22 |
| 3.1.7 | Form of Certificate of Designation of Preferences, Rights and Limitations of Series B Convertible Preferred Stock | 8-K/A | 3.1 | 4/20/18 |
| 3.2 | Amended and Restated Bylaws | 8-K | 3.1 | 1/15/21 |
| 4.1 | Description of Registrant’s Securities | † | ||
| 4.2 | Specimen Common Stock Certificate | S-1/A | 4.2 | 9/29/15 |
| 4.6 | Specimen Series Z Warrant Certificate | 8-K | 4.1 | 4/5/18 |
| 4.7 | 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 | 8-K | 10.1 | 6/8/18 |
| 4.8 | Form of PAVmed Inc. Senior Secured Convertible Note | 8-K | 4.1 | 4/4/22 |
| 4.9 | Form of Lucid Diagnostics Senior Secured Convertible Note | 8-K (LUCD) | 4.1 | 3/14/23 |
| 10.1 | Patent Option Agreement | S-1 | 10.1 | 4/22/15 |
| 10.2.1 | Form of Letter Agreement with HCFP Capital Partners III LLC | S-1 | 10.4.1 | 4/22/15 |
| 10.2.2 | Form of Letter Agreement with Pavilion Venture Partners LLC | S-1 | 10.4.2 | 4/22/15 |
| 10.3.1 | Letter agreement regarding corporate opportunities executed by Lishan Aklog, M.D. | S-1 | 10.5.1 | 4/22/15 |
| 10.3.2 | Letter agreement regarding corporate opportunities executed by Michael Glennon | S-1 | 10.5.2 | 4/22/15 |
| 10.3.3 | Letter agreement regarding corporate opportunities executed by Brian deGuzman, M.D. | S-1 | 10.5.3 | 4/22/15 |
| 10.4* | Amended and Restated Employment Agreement between PAVmed Inc. and Lishan Aklog, M.D. | 8-K | 10.1 | 3/20/19 |
| 10.5* | Amended and Restated Employment Agreement between PAVmed Inc. and Dennis M. McGrath | 8-K | 10.2 | 3/20/19 |
| 10.6* | Employment Agreement between PAVmed Inc. and Brian J. deGuzman, M.D. | 8-K | 10.1 | 7/19/16 |
| 10.7 | PAVmed Inc. Fifth Amended and Restated 2014 Long-Term Incentive Equity Plan | DEF 14A | Annex A | 4/30/21 |
| 10.8 | PAVmed Inc. Employee Stock Purchase Plan | DEF 14A | Annex B | 4/30/21 |
| 10.9* | Employment Agreement between PAVmed Inc. and Michael A. Gordon | 10-K | 10.9 | 3/14/23 |
| 10.10* | Employment Agreement between PAVmed Inc. and Shaun M. O’Neil | 8-K | 10.1 | 2/24/22 |
| 10.11 | Amended and Restated License Agreement, dated as of August 23, 2021, by and between Case Western Reserve University and Lucid Diagnostics Inc. | S-1/A (LUCD) | 10.2 | 10/1/21 |
| 10.12 | Form of Stock Option Agreement | 10-K | 10.12 | 3/14/23 |
| 10.13 | Form of Indemnification Agreement | 10-K | 10.13 | 3/14/23 |
| 10.14 | Controlled Equity OfferingSM, dated as of December 21, 2021, by and between Cantor Fitzgerald & Co. and PAVmed Inc. | S-3 | 1.2 | 12/21/21 |
| 10.15.1 | Form of Securities Purchase Agreement | 8-K | 10.1 | 4/4/22 |
| 10.15.2 | Form of Security Agreement | 8-K | 10.2 | 4/4/22 |
| 10.15.3 | Form of Voting Agreement | 8-K | 10.3 | 4/4/22 |
| 10.16.1 | Common Stock Purchase Agreement, dated as of March 28, 2022, by and between CF Principal Investments LLC and Lucid Diagnostics Inc. | 8-K (LUCD) | 10.1 | 4/1/22 |
| 10.16.2 | Registration Rights Agreement, dated as of March 28, 2022, by and between CF Principal Investments LLC and Lucid Diagnostics Inc. | 8-K (LUCD) | 10.2 | 4/1/22 |
| 10.17 | Controlled Equity OfferingSM, dated as of November 23, 2022, by and between Cantor Fitzgerald & Co. and Lucid Diagnostics Inc. | 8-K (LUCD) | 1.2 | 11/25/22 |
| 10.18.1 | Form of Securities Purchase Agreement (LUCD) | 8-K (LUCD) | 10.1 | 3/14/23 |
| 10.18.2 | Form of Guaranty (LUCD) | 8-K (LUCD) | 10.3 | 3/14/23 |
| 10.18.3 | Form of Registration Rights Agreement (LUCD) | 8-K (LUCD) | 10.1 | 3/24/23 |
| 10.19.1 | Management Services Agreement, dated as of May 12, 2018, by and between PAVmed Inc. and Lucid Diagnostics Inc. | S-1/A (LUCD) | 10.4.1 | 10/7/21 |
| 10.9.2 | Eighth Amendment to Management Services Agreement, dated as of March 22, 2024, by and between PAVmed Inc. and Lucid Diagnostics Inc. | 10-K (LUCD) | 10.4.9 | 3/25/24 |
| 14.1 | Form of Code of Ethics | 10-K | 14.1 | 3/14/23 |
| 21.1 | List of Subsidiaries † | † | ||
| 23.1 | Consent of Marcum LLP † | † | ||
| 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. † | † | ||
| 97.1 | Form of Compensation Clawback Policy | † | ||
| 101.INS | XBRL Instance Document | † | ||
| 101.SCH | XBRL Taxonomy Extension Schema | † | ||
| 101.CAL | XBRL 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 | † | ||
| * | Management contract or compensatory plan or arrangement. | |||
| † | Filed herewith | |||
| LUCD | Lucid Diagnostics Inc. | |||
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