Echo Therapeutics, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 11 rows, 11 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-18: Reporting owner Platinum Liquid Opportunity Management (NY) LLC | Platinum-Montaur Life Sciences, LLC | Platinum Partners Liquid Opportunity Master Fund L.P. | Platinum Management (NY) LLC | Platinum Partners Value Arbitrage Fund, LP | Nordlicht Mark; Form 4/A; Security Series F Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2014-12-18: Reporting owner Platinum Liquid Opportunity Management (NY) LLC | Platinum-Montaur Life Sciences, LLC | Platinum Partners Liquid Opportunity Master Fund L.P. | Platinum Management (NY) LLC | Platinum Partners Value Arbitrage Fund, LP | Nordlicht Mark; Form 4/A; Security Series F Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2014-12-18: Reporting owner Platinum Liquid Opportunity Management (NY) LLC | Platinum-Montaur Life Sciences, LLC | Platinum Partners Liquid Opportunity Master Fund L.P. | Platinum Management (NY) LLC | Platinum Partners Value Arbitrage Fund, LP | Nordlicht Mark; Form 4/A; Security Series F Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2014-12-18: Reporting owner Platinum Liquid Opportunity Management (NY) LLC | Platinum Partners Value Arbitrage Fund, LP | Nordlicht Mark | Platinum-Montaur Life Sciences, LLC | Platinum Partners Liquid Opportunity Master Fund L.P. | Platinum Management (NY) LLC | LANDESMAN URI; Form 4; Security Series F Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-12-18 | Platinum Liquid Opportunity Management (NY) LLC | Platinum-Montaur Life Sciences, LLC | Platinum Partners Liquid Opportunity Master Fund L.P. | Platinum Management (NY) LLC | Platinum Partners Value Arbitrage Fund, LP | Nordlicht Mark 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4/A | Series F Preferred Stock Derivative · Indirect · By Platinum Partners Value Arbitrage Fund L.P. | P Open market or private purchase of non-derivative or derivative security | +420,168 420,168 owned after | $1.19 | 2015-05-18 | |
| 2014-12-18 | Platinum Liquid Opportunity Management (NY) LLC | Platinum-Montaur Life Sciences, LLC | Platinum Partners Liquid Opportunity Master Fund L.P. | Platinum Management (NY) LLC | Platinum Partners Value Arbitrage Fund, LP | Nordlicht Mark 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4/A | Series F Preferred Stock Derivative · Indirect · By Platinum Partners Value Arbitrage Fund L.P. | J Other acquisition or disposition (describe transaction) | +1,052,410 1,472,578 owned after | no price filed | 2015-05-18 | |
| 2014-12-18 | Platinum Liquid Opportunity Management (NY) LLC | Platinum-Montaur Life Sciences, LLC | Platinum Partners Liquid Opportunity Master Fund L.P. | Platinum Management (NY) LLC | Platinum Partners Value Arbitrage Fund, LP | Nordlicht Mark 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4/A | Series F Preferred Stock Derivative · Indirect · By Platinum Partners Liquid Opportunity Master Fund L.P. | J Other acquisition or disposition (describe transaction) | +447,590 447,590 owned after | no price filed | 2015-05-18 | |
| 2014-12-18 | Platinum Liquid Opportunity Management (NY) LLC | Platinum Partners Value Arbitrage Fund, LP | Nordlicht Mark | Platinum-Montaur Life Sciences, LLC | Platinum Partners Liquid Opportunity Master Fund L.P. | Platinum Management (NY) LLC | LANDESMAN URI 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series F Preferred Stock Derivative · Indirect · By Platinum Partners Value Arbitrage Fund L.P. | P Open market or private purchase of non-derivative or derivative security | +420,168 420,168 owned after | $1.19 | 2014-12-22 | |
| 2013-12-10 | Platinum-Montaur Life Sciences, LLC | Platinum Partners Liquid Opportunity Master Fund L.P. | Platinum Management (NY) LLC | LANDESMAN URI | Platinum Partners Value Arbitrage Fund, LP | Platinum Long Term Growth VII, LLC | Nordlicht Mark | Platinum Liquid Opportunity Management (NY) LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series E Preferred Stock Derivative · Indirect · By Platinum Partners Value Arbitrage Fund L.P. | P Open market or private purchase of non-derivative or derivative security | +1,398,890 1,398,890 owned after | $2.75 | 2013-12-12 | |
| 2013-12-10 | Platinum-Montaur Life Sciences, LLC | Platinum Partners Liquid Opportunity Master Fund L.P. | Platinum Management (NY) LLC | LANDESMAN URI | Platinum Partners Value Arbitrage Fund, LP | Platinum Long Term Growth VII, LLC | Nordlicht Mark | Platinum Liquid Opportunity Management (NY) LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series E Preferred Stock Derivative · Indirect · By Platinum Partners Liquid Opportunity Master Fund L.P. | P Open market or private purchase of non-derivative or derivative security | +349,723 349,723 owned after | $2.75 | 2013-12-12 | |
| 2013-07-22 holding as of filing | LANDESMAN URI | Nordlicht Mark | Platinum Management (NY) LLC | Platinum Long Term Growth VII, LLC | Platinum Partners Value Arbitrage Fund, LP | Platinum Partners Liquid Opportunity Master Fund L.P. | Platinum-Montaur Life Sciences, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | $9.30 exercise price | 2013-07-22 | ||
| 2013-07-22 holding as of filing | LANDESMAN URI | Nordlicht Mark | Platinum Management (NY) LLC | Platinum Long Term Growth VII, LLC | Platinum Partners Value Arbitrage Fund, LP | Platinum Partners Liquid Opportunity Master Fund L.P. | Platinum-Montaur Life Sciences, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | $9.30 exercise price | 2013-07-22 | ||
| 2013-07-22 holding as of filing | LANDESMAN URI | Nordlicht Mark | Platinum Management (NY) LLC | Platinum Long Term Growth VII, LLC | Platinum Partners Value Arbitrage Fund, LP | Platinum Partners Liquid Opportunity Master Fund L.P. | Platinum-Montaur Life Sciences, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | $9.30 exercise price | 2013-07-22 | ||
| 2013-07-22 holding as of filing | LANDESMAN URI | Nordlicht Mark | Platinum Management (NY) LLC | Platinum Long Term Growth VII, LLC | Platinum Partners Value Arbitrage Fund, LP | Platinum Partners Liquid Opportunity Master Fund L.P. | Platinum-Montaur Life Sciences, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Direct | Holding | $10.00 exercise price | 2013-07-22 | ||
| 2013-07-22 holding as of filing | LANDESMAN URI | Nordlicht Mark | Platinum Management (NY) LLC | Platinum Long Term Growth VII, LLC | Platinum Partners Value Arbitrage Fund, LP | Platinum Partners Liquid Opportunity Master Fund L.P. | Platinum-Montaur Life Sciences, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Direct | Holding | $10.00 exercise price | 2013-07-22 |