# EDGAR Filing Document

**Accession Number:** 0000315545
**File Stem:** 0001493152-23-008331
**Filing Date:** 2023-3
**Character Count:** 7123
**Document Hash:** b91667959fc37f2d5331f04728ef3e8b
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-23-008331.hdr.sgml**: 20230321

**ACCESSION NUMBER**: 0001493152-23-008331

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230227

**FILED AS OF DATE**: 20230321

**DATE AS OF CHANGE**: 20230321

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Pershing Edward
- **CENTRAL INDEX KEY:** 0001689739

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36457
- **FILM NUMBER:** 23748249

**MAIL ADDRESS:**
- **STREET 1:** 2220 SOUTHERLAND AVE
- **CITY:** KNOXVILLE
- **STATE:** TN
- **ZIP:** 37919
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** PROVECTUS BIOPHARMACEUTICALS, INC.
- **CENTRAL INDEX KEY:** 0000315545
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 900031917
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 10025 INVESTMENT DRIVE
- **STREET 2:** SUITE 250
- **CITY:** KNOXVILLE
- **STATE:** TN
- **ZIP:** 37932
- **BUSINESS PHONE:** 865-769-4011

**MAIL ADDRESS:**
- **STREET 1:** 10025 INVESTMENT DRIVE
- **STREET 2:** SUITE 250
- **CITY:** KNOXVILLE
- **STATE:** TN
- **ZIP:** 37932

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PROVECTUS PHARMACEUTICALS INC
- **DATE OF NAME CHANGE:** 20020417

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ZAMAGE DIGITAL IMAGING INC
- **DATE OF NAME CHANGE:** 20011126

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** SPM GROUP INC
- **DATE OF NAME CHANGE:** 19920703

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Pershing Edward<br><sub>(Last) (First) (Middle)</sub><br>800 S. GAY STREET, SUITE 1610<br><sub>(Street)</sub><br>KNOXVILLE, TN 37929<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-27 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>PROVECTUS BIOPHARMACEUTICALS, INC. [ PVCT ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 8% Unsecured Convertible Promissory Note | $2.862 | 2023-02-27 |  | A |  |  |  | 2023-02-27 | 2024-02-27 | Series D-1 Convertible Preferred Stock<sup>(1)(2)</sup> | 34941 | $100000 |  | D |  |
| 8% Unsecured Convertible Promissory Note | $2.862 | 2023-03-17 |  | A |  |  |  | 2023-03-17 | 2024-03-17 | Series D-1 Convertible Preferred Stock<sup>(1)(2)</sup> | 43676 | $125000 |  | D |  |

---

### Footnotes:

(1) The Reporting Person may voluntarily elect to convert the outstanding principal and interest of the 8% unsecured convertible promissory note (the "Note") at any time while the Note is outstanding into shares of Series D-1 Convertible Preferred Stock, par value $0.001 per share ("Series D-1 Preferred Stock") at a price per share equal to $2.862. The outstanding principal and interest of the Note will automatically convert into shares of Series D-1 Preferred Stock at a price per share equal to $2.862 on the date which is twelve months after the issue date of the Note. The Note was issued pursuant to the Issuer's 2022 Financing.

(2) Each share of Series D-1 Preferred Stock is convertible into 10 shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"). The Series D-1 Preferred Stock will automatically convert into Common Stock on June 20, 2026, unless earlier converted into Common Stock in accordance with the terms of the Certificate of Designation for the Series D-1 Preferred Stock.

**Signature:** /s/ Edward Pershing  
**Date:** 2023-03-21

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**