# EDGAR Filing Document

**Accession Number:** 0001964081
**File Stem:** 0001493152-23-003221
**Filing Date:** 2023-1
**Character Count:** 6154
**Document Hash:** 5a253a23e860bda7bd665f2136303c61
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-23-003221.hdr.sgml**: 20230131

**ACCESSION NUMBER**: 0001493152-23-003221

**CONFORMED SUBMISSION TYPE**: 3

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230118

**FILED AS OF DATE**: 20230131

**DATE AS OF CHANGE**: 20230131

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Alavi Hamed
- **CENTRAL INDEX KEY:** 0001964081

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38325
- **FILM NUMBER:** 23574585

**MAIL ADDRESS:**
- **STREET 1:** ENVVENO MEDICAL CORPORATION
- **STREET 2:** 70 DOPPLER
- **CITY:** IRVINE
- **STATE:** CA
- **ZIP:** 92618
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** enVVeno Medical Corp
- **CENTRAL INDEX KEY:** 0001661053
- **STANDARD INDUSTRIAL CLASSIFICATION:** SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
- **IRS NUMBER:** 330936180
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 70 DOPPLER
- **CITY:** IRVINE
- **STATE:** CA
- **ZIP:** 92618
- **BUSINESS PHONE:** 949-261-2900

**MAIL ADDRESS:**
- **STREET 1:** 70 DOPPLER
- **CITY:** IRVINE
- **STATE:** CA
- **ZIP:** 92618

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Hancock Jaffe Laboratories, Inc.
- **DATE OF NAME CHANGE:** 20151215

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

## FORM 3

### INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Alavi Hamed<br><sub>(Last) (First) (Middle)</sub><br>C/O ENVVENO MEDICAL CORPORATION<br>70 DOPPLER<br><sub>(Street)</sub><br>IRVINE, CA 92618<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>enVVeno Medical Corp [ NVNO ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-01-18 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director   [ ] 10% Owner<br>[X] Officer (give title below)   [ ] Other (specify below)<br>_Chief Technology Officer_ | **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 Beneficially Owned

---

|  |  |  |  |
| --- | --- | --- | --- |
| 1. Title of Security | 2. Amount of Securities Beneficially Owned | 3. Ownership Form | 4. Nature of Indirect Beneficial Ownership |

---

## Table II - Derivative Securities Beneficially Owned

---

|  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Underlying Securities | 3. Title and Amount of Underlying Securities | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| Stock Options | <sup>(1)</sup> | 2032-11-30 | Common Stock | 100000 | $6.70 | D |  |
| Stock Options | <sup>(2)</sup> | 2031-11-30 | Common Stock | 125925 | $6.70 | D |  |
| Stock Options | <sup>(3)</sup> | 2031-02-18 | Common Stock | 320000 | $8.20 | D |  |
| Stock Options | <sup>(4)</sup> | 2030-07-18 | Common Stock | 8000 | $10 | D |  |
| Restricted Stock Unit | <sup>(5)</sup> | 2031-11-30 | Common Stock | 50000 | <sup>(5)</sup> | D |  |

---

### Footnotes:

(1) The common stock options were issued to the Reporting Person on November 30, 2022 pursuant to the issuer's Amended and Restated 2016 Omnibus Incentive Plan, as amended (the "Plan"). The award is subject to time-based vesting and will vest in equal quarterly installments on the last day of each fiscal quarter during the three calendar years through 2025.

(2) The common stock options were issued to the Reporting Person on November 30, 2021 pursuant to the Plan. The award is subject to time-based vesting and will vest in equal quarterly installments on the last day of each fiscal quarter during the three calendar years through 2024.

(3) The common stock options were issued to the Reporting Person on February 18, 2021 pursuant to the Plan. The award is subject to time-based vesting and will vest in equal quarterly installments on the last day of each fiscal quarter during the three calendar years through March 2024.

(4) The common stock options were issued to the Reporting Person on July 18, 2020 pursuant to the Plan. The award is subject to time-based vesting and will vest in equal quarterly installments on the last day of each fiscal quarter during the three calendar years through September 2023.

(5) The Reporting Person was granted 50,000 restricted stock units on November 30, 2021 pursuant to the Plan. The restricted stock units are subject to milestone-based vesting as follows: (i) 50% upon SAVVE (Surgical Anti-reflux Venous Valve Endoprosthesis) endpoints being achieved, and (ii) 50% upon the Pre-Market Approval of the VenoValve.

**Signature:** /s/ Hamed Alavi  
**Date:** 2023-01-31

### 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.**