STRATA SKIN SCIENCES, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 23 rows, 23 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-08-24: Reporting owner KOTLER KEVIN | Broadfin Healthcare Master Fund Ltd | Broadfin Capital, LLC; Form 3; Security Common Stock Warrant; Transaction Holding.
- 2015-08-24: Reporting owner KOTLER KEVIN | Broadfin Healthcare Master Fund Ltd | Broadfin Capital, LLC; Form 3; Security Common Stock Warrant; Transaction Holding.
- 2015-08-24: Reporting owner KOTLER KEVIN | Broadfin Healthcare Master Fund Ltd | Broadfin Capital, LLC; Form 3; Security Common Stock Warrant; Transaction Holding.
- 2015-08-24: Reporting owner KOTLER KEVIN | Broadfin Healthcare Master Fund Ltd | Broadfin Capital, LLC; Form 3; Security Common Stock Warrant; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-08-24 holding as of filing | KOTLER KEVIN | Broadfin Healthcare Master Fund Ltd | Broadfin Capital, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Common Stock Warrant Derivative · Direct · (m) | Holding | $7.40 exercise price | 2015-08-24 | ||
| 2015-08-24 holding as of filing | KOTLER KEVIN | Broadfin Healthcare Master Fund Ltd | Broadfin Capital, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Common Stock Warrant Derivative · Indirect · (m) | Holding | $7.40 exercise price | 2015-08-24 | ||
| 2015-08-24 holding as of filing | KOTLER KEVIN | Broadfin Healthcare Master Fund Ltd | Broadfin Capital, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Common Stock Warrant Derivative · Direct · (m) | Holding | $2.45 exercise price | 2015-08-24 | ||
| 2015-08-24 holding as of filing | KOTLER KEVIN | Broadfin Healthcare Master Fund Ltd | Broadfin Capital, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Common Stock Warrant Derivative · Indirect · (m) | Holding | $2.45 exercise price | 2015-08-24 | ||
| 2015-08-24 holding as of filing | KOTLER KEVIN | Broadfin Healthcare Master Fund Ltd | Broadfin Capital, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Common Stock Warrant Derivative · Direct · (m) | Holding | $2.45 exercise price | 2015-08-24 | ||
| 2015-08-24 holding as of filing | KOTLER KEVIN | Broadfin Healthcare Master Fund Ltd | Broadfin Capital, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Common Stock Warrant Derivative · Indirect · (m) | Holding | $2.45 exercise price | 2015-08-24 | ||
| 2015-08-24 holding as of filing | KOTLER KEVIN | Broadfin Healthcare Master Fund Ltd | Broadfin Capital, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Common Stock Warrant Derivative · Direct · (m) | Holding | $0.75 exercise price | 2015-08-24 | ||
| 2015-08-24 holding as of filing | KOTLER KEVIN | Broadfin Healthcare Master Fund Ltd | Broadfin Capital, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Common Stock Warrant Derivative · Indirect · (m) | Holding | $0.75 exercise price | 2015-08-24 | ||
| 2014-03-04 holding as of filing | KOTLER KEVIN | Broadfin Healthcare Master Fund Ltd | Broadfin Capital, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Common Stock Warrant Derivative · Direct · (m) | Holding | $0.74 exercise price | 2014-03-04 | ||
| 2014-03-04 holding as of filing | KOTLER KEVIN | Broadfin Healthcare Master Fund Ltd | Broadfin Capital, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Common Stock Warrant Derivative · Indirect · (m) | Holding | $0.74 exercise price | 2014-03-04 | ||
| 2010-01-15 | Lufkin Dan W Director | 4 | Stock Warrants Derivative · Indirect · Aster Lee Moulton Lufkin Trust | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −70,175 0 owned after | $6.70 exercise price | 2010-01-20 | |
| 2009-11-05 | Castleman Breaux Director | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,168 0 owned after | $4.52 exercise price | 2009-11-05 | |
| 2009-11-03 | Lufkin Dan W Director | 4 | Warrant Derivative · Indirect · Margaret L. Bishop Trust | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,460 0 owned after | $4.52 exercise price | 2009-11-05 | |
| 2009-11-03 | Lufkin Dan W Director | 4 | Warrant Derivative · Indirect · Abigail Lufkin Trust | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,460 0 owned after | $4.52 exercise price | 2009-11-05 | |
| 2009-11-03 | Lufkin Dan W Director | 4 | Warrant Derivative · Indirect · Allison Lufkin Trust | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,460 0 owned after | $4.52 exercise price | 2009-11-05 | |
| 2009-11-03 | Lufkin Dan W Director | 4 | Warrant Derivative · Indirect · Elise G.B. Lufkin Living Trust | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,460 0 owned after | $4.52 exercise price | 2009-11-05 | |
| 2007-12-05 holding as of filing | BONANZA CAPITAL LTD | BONANZA MASTER FUND LTD 10% Owner | 10% Owner | 3 | Common Stock Purchase Warrants Derivative · Direct · (m) | Holding | $8.00 exercise price | 2007-12-05 | ||
| 2007-12-05 holding as of filing | BONANZA CAPITAL LTD | BONANZA MASTER FUND LTD 10% Owner | 10% Owner | 3 | Common Stock Purchase Warrants Derivative · Indirect · (m) | Holding | $8.00 exercise price | 2007-12-05 | ||
| 2007-06-05 | Lufkin Dan W Director | 4 | Stock Warrants Derivative · Direct · (m) | G Bona fide gift | −70,175 0 owned after | $6.70 exercise price | 2007-06-06 | |
| 2007-06-05 | Lufkin Dan W Director | 4 | Stock Warrants Derivative · Indirect · (m) | G Bona fide gift | +70,175 70,175 owned after | $6.70 exercise price | 2007-06-06 | |
| 2006-12-18 | Lufkin Dan W Director | 4 | Warrant Derivative · Indirect · Aster Lee Moulton Lufkin Trust | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,847 0 owned after | $4.52 | 2006-12-20 | |
| 2006-11-03 | Lufkin Dan W Director | 4/A | Stock Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +70,175 86,862 owned after | $0.02 | 2006-11-30 | |
| 2006-11-03 | Lufkin Dan W Director | 4 | Stock Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +70,175 86,862 owned after | $0.02 | 2006-11-06 |