Echo Therapeutics, Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 16 rows, 16 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 Warrants; 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 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 Warrants; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2013-12-10: Reporting owner 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; Form 4; Security Warrants; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2013-12-10: Reporting owner 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; Form 4; Security Warrants; 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 | Warrants Derivative · Indirect · By Platinum Partners Value Arbitrage Fund L.P. | P Open market or private purchase of non-derivative or derivative security | +1 1 owned after | $3.00 exercise price | 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 | Warrants Derivative · Indirect · By Platinum Partners Value Arbitrage Fund L.P. | P Open market or private purchase of non-derivative or derivative security | +1 1 owned after | $3.00 exercise price | 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 | Warrants Derivative · Indirect · By Platinum Partners Value Arbitrage Fund L.P. | P Open market or private purchase of non-derivative or derivative security | +1 1 owned after | $2.75 exercise price | 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 | Warrants Derivative · Indirect · By Platinum Partners Liquid Opportunity Master Fund L.P. | P Open market or private purchase of non-derivative or derivative security | +1 1 owned after | $2.75 exercise price | 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 | Warrants Derivative · Direct | Holding | $20.00 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 | Warrants Derivative · Direct | Holding | $21.30 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 | Warrants Derivative · Direct | Holding | $22.70 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 | Warrants Derivative · Direct | Holding | $21.10 exercise price | 2013-07-22 | ||
| 2007-06-15 | WIGLEY MICHAEL Director | 4 | Common Stock Purchase Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +30,000 30,000 owned after | $1.40 exercise price | 2007-06-18 | |
| 2007-06-15 | Mitchell Harry Officer (Interim CEO and CFO) | 4 | Common Stock Purchase Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,500 1,500 owned after | $1.40 exercise price | 2007-06-18 | |
| 2007-02-16 holding as of filing | Witoshkin Walter W Director | 3 | Common Stock Purchase Warrant (right to buy) Derivative · Direct | Holding | $0.21 exercise price | 2007-02-16 | ||
| 2007-01-30 | WIGLEY MICHAEL Director | 4 | Common Stock Purchase Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +150,000 150,000 owned after | $0.21 exercise price | 2007-02-01 | |
| 2007-01-30 | KOHLER GARY S Director | 4 | Common Stock Purchase Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +25,000 25,000 owned after | $0.21 exercise price | 2007-01-31 | |
| 2007-01-30 | LANGER ROBERT Director | 4 | Common Stock Purchase Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +62,500 62,500 owned after | $0.21 exercise price | 2007-01-31 | |
| 2007-01-30 | Mitchell Harry Officer (Interim CEO) | 4 | Common Stock Purchase Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +12,500 12,500 owned after | $0.21 exercise price | 2007-01-31 | |
| 2007-01-30 | PUORRO GERARD E Director | 4 | Common Stock Purchase Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +50,000 50,000 owned after | $0.21 exercise price | 2007-01-31 |