0001140361-13-028586.txt : 20130722 0001140361-13-028586.hdr.sgml : 20130722 20130722174548 ACCESSION NUMBER: 0001140361-13-028586 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130711 FILED AS OF DATE: 20130722 DATE AS OF CHANGE: 20130722 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Echo Therapeutics, Inc. CENTRAL INDEX KEY: 0001031927 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 411649949 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 8 PENN CENTER STREET 2: 1628 JFK BLVD, SUITE 300 CITY: PHILADELPHIA STATE: PA ZIP: 19103 BUSINESS PHONE: 215-717-4100 MAIL ADDRESS: STREET 1: 8 PENN CENTER STREET 2: 1628 JFK BLVD, SUITE 300 CITY: PHILADELPHIA STATE: PA ZIP: 19103 FORMER COMPANY: FORMER CONFORMED NAME: SONTRA MEDICAL CORP DATE OF NAME CHANGE: 20020702 FORMER COMPANY: FORMER CONFORMED NAME: CHOICETEL COMMUNICATIONS INC/MN/ DATE OF NAME CHANGE: 20020701 FORMER COMPANY: FORMER CONFORMED NAME: SONTRA MEDICAL CORP DATE OF NAME CHANGE: 20020701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Platinum-Montaur Life Sciences, LLC CENTRAL INDEX KEY: 0001404598 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35218 FILM NUMBER: 13979957 BUSINESS ADDRESS: STREET 1: 152 WEST 57TH STREET STREET 2: 4TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: (212) 582-2222 MAIL ADDRESS: STREET 1: 152 WEST 57TH STREET STREET 2: 4TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Platinum Long Term Growth VII, LLC CENTRAL INDEX KEY: 0001413041 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35218 FILM NUMBER: 13979959 BUSINESS ADDRESS: STREET 1: 152 WEST 57TH STREET STREET 2: 4TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-271-7866 MAIL ADDRESS: STREET 1: 152 WEST 57TH STREET STREET 2: 4TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LANDESMAN URI CENTRAL INDEX KEY: 0001120642 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35218 FILM NUMBER: 13979960 MAIL ADDRESS: STREET 1: 230 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10169 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Platinum Management (NY) LLC CENTRAL INDEX KEY: 0001368616 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35218 FILM NUMBER: 13979961 BUSINESS ADDRESS: STREET 1: 152 WEST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-581-2401 MAIL ADDRESS: STREET 1: 152 WEST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Platinum Partners Value Arbitrage Fund, LP CENTRAL INDEX KEY: 0001299265 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35218 FILM NUMBER: 13979963 BUSINESS ADDRESS: STREET 1: 152 WEST 57TH STREET STREET 2: 54TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-581-0500 MAIL ADDRESS: STREET 1: 152 WEST 57TH STREET STREET 2: 54TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Platinum Partners Liquid Opportunity Master Fund L.P. CENTRAL INDEX KEY: 0001476165 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35218 FILM NUMBER: 13979958 BUSINESS ADDRESS: STREET 1: 152 WEST 57 STREET, 4TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-271-7866 MAIL ADDRESS: STREET 1: 152 WEST 57 STREET, 4TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nordlicht Mark CENTRAL INDEX KEY: 0001339643 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35218 FILM NUMBER: 13979962 MAIL ADDRESS: STREET 1: 159 WYKAGL TERRACE CITY: NEW ROCHELLE STATE: NY ZIP: 10804 3 1 doc1.xml FORM 3 X0206 3 2013-07-11 0 0001031927 Echo Therapeutics, Inc. ECTE 0001299265 Platinum Partners Value Arbitrage Fund, LP C/O PLATINUM MANAGEMENT (NY) LLC 152 WEST 57TH STREET, 4TH FLOOR NEW YORK NY 10019 0 0 1 0 0001339643 Nordlicht Mark 152 WEST 57TH STREET 4TH FLOOR NEW YORK NY 10019 0 0 1 0 0001368616 Platinum Management (NY) LLC 152 WEST 57TH STREET NEW YORK NY 10019 0 0 1 0 0001120642 LANDESMAN URI 152 WEST 57TH STREET 4TH FLOOR NEW YORK NY 10019 0 0 1 0 0001413041 Platinum Long Term Growth VII, LLC 152 WEST 57TH STREET 4TH FLOOR NEW YORK NY 10019 0 0 1 0 0001476165 Platinum Partners Liquid Opportunity Master Fund L.P. C/O PLATINUM MANAGEMENT (NY) LLC 152 WEST 57 STREET, 4TH FLOOR NEW YORK NY 10019 0 0 1 0 0001404598 Platinum-Montaur Life Sciences, LLC 152 WEST 57TH STREET 4TH FLOOR NEW YORK NY 10019 0 0 1 0 Common Stock 452169 D Common Stock 564538 D Series C Convertible Preferred Stock 9.30 Common Stock 311308 D Series C Convertible Preferred Stock 9.30 Common Stock 100000 D Series C Convertible Preferred Stock 9.30 Common Stock 586110 D Series D Convertible Preferred Stock 10 Common Stock 100000 D Series D Convertible Preferred Stock 10 Common Stock 200600 D Warrants 20 2017-08-31 Common Stock 400000 D Warrants 21.30 2017-09-20 Common Stock 100000 D Warrants 22.70 2017-10-17 Common Stock 50000 D Warrants 21.10 2017-11-06 Common Stock 150000 D Reflects the securities of the issuer owned directly by Platinum Partners Value Arbitrage Fund L.P. ("PPVA"). Reflects the securities of the issuer owned directly by Platinum Partners Liquid Opportunity Master Fund L.P., ("PPLO"). Reflects the securities of the issuer owned directly by Platinum Long Term Growth VII, LLC ("Platinum VII"). Reflects the securities of the issuer owned directly by Platinum-Montaur Life Sciences, LLC ("Platinum-Montaur"). The securities reported herein are held by Platinum VII, PPLO, Platinum-Montaur and PPVA. Platinum VII and Platinum-Montaur are subsidiaries of PPVA (collectively, the "Funds"). Platinum Management (NY) LLC ("Platinum Management") is the investment manager and general partner of PPVA and is the investment manager of Platinum VII and Platinum-Montaur. Platinum Liquid Opportunity Management (NY) LLC ("Platinum Liquid Management") is the investment manager of PPLO. Platinum Liquid Opportunity GP LLC is the general partner of PPLO. Mr. Nordlicht and Uri Landesman are the controlling persons of Platinum Management, Platinum Liquid Management and Platinum Liquid Opportunity GP LLC. Platinum Management, Platinum Liquid Management, Platinum Liquid Opportunity GP LLC, Mark Nordlicht and Uri Landesman may each be deemed to indirectly beneficially own the securities held by the Funds. For purposes of this Form 3, Platinum Management, Platinum Liquid Management, Platinum Liquid Opportunity GP LLC and Messrs. Nordlicht and Landesman each disclaims beneficial ownership of the securities beneficially owned by the Funds, except to the extent of its or his pecuniary interest therein. The Series C Convertible Preferred Stock and Series D Convertible Preferred Stock are immediately convertible into shares of common stock and do not have expiration dates. The warrants are immediately exercisable. Pursuant to the terms of the warrants, the number of shares of common stock for which the warrants are exercisable is limited pursuant to the terms of the warrants to that number of shares of common stock which would result in the reporting persons having aggregate beneficial ownership of 4.99% of the total issued and outstanding shares of common stock (the "Ownership Limitation"). The warrants provide that Platinum-Montaur may waive such Ownership Limitation upon 61-days' prior written notice and increase such limitation up to 9.99%, which Platinum-Montaur has not done as of the date of this filing. Uri Landesman, President of Platinum Management (NY) LLC, as general partner of Platinum Partners Value Arbitrage Fund L.P. 2013-07-22 EX-99.1 2 misc1.htm MISCELLANEOUS EXHIBITS Unassociated Document
Joint Filer Information
 
Title of Security:
Common Stock, Series C Convertible Preferred Stock, Series D Convertible Preferred Stock and Warrants
 
Issuer & Ticker Symbol:
ECHO THERAPEUTICS, INC. [ECTE]
 
Designated Filer:
Platinum Partners Value Arbitrage Fund L.P.
 
Other Joint Filers:
 
Platinum Long Term Growth VII, LLC (“Platinum VII”);
Platinum Partners Liquid Opportunity Master Fund L.P. (“PPLO”);
Platinum-Montaur Life Sciences, LLC (“Platinum-Montaur”);
Platinum Management (NY) LLC (“Platinum Management”),
Platinum Liquid Opportunity Management (NY) LLC (“Platinum Liquid Management”);
Mark Nordlicht; and
Uri Landesman
 
Addresses:
 
The address of each of the Platinum VII, Platinum-Monataur, Platinum Management, Platinum Liquid Management, Mr. Nordlicht and Mr. Landesman is 152 West 57th Street, 4th Floor, New York, New York 10019.
 
PPLO has an address at c/o Platinum Management, 152 West 57th Street, 4th Floor, New York, New York 10019
Signatures:
  


Dated:  July 22, 2013

PLATINUM LONG TERM GROWTH VII, LLC



By:  /s/ Uri Landesman
             Uri Landesman, President


PLATINUM PARTNERS LIQUID OPPORTUNITY MASTER FUND L.P.



By:  /s/ Uri Landesman
             Uri Landesman, President

PLATINUM-MONTAUR LIFE SCIENCES, LLC

 

By:  /s/ Uri Landesman
             Uri Landesman, President
 
 
PLATINUM MANAGEMENT (NY) LLC
 

By:  /s/ Uri Landesman
             Uri Landesman, President

 
 
 

PLATINUM LIQUID OPPORTUNITY MANAGEMENT (NY) LLC

 

By:  /s/ Uri Landesman
             Uri Landesman, President
 
 

/s/ Mark Nordlicht
     Mark Nordlicht



/s/ Uri Landesman
     Uri Landesman