0001415889-13-001948.txt : 20131002 0001415889-13-001948.hdr.sgml : 20131002 20131002140012 ACCESSION NUMBER: 0001415889-13-001948 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131001 FILED AS OF DATE: 20131002 DATE AS OF CHANGE: 20131002 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: Doman Robert F CENTRAL INDEX KEY: 0001313163 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35218 FILM NUMBER: 131129610 MAIL ADDRESS: STREET 1: C/O DUSA PHARMACEUTICALS, INC. STREET 2: 25 UPTON DRIVE CITY: WILMINGTON STATE: MA ZIP: 01887 4 1 form4-10022013_021004.xml X0306 4 2013-10-01 0001031927 Echo Therapeutics, Inc. ECTE 0001313163 Doman Robert F 8 PENN CENTER 1628 JFK BLVD., SUITE 300 PHILADELPHIA PA 19103 true true false false EXEC. CHAIRMAN AND INTERIM CEO Common Stock 2013-10-01 4 A 0 400 0 A 4700 D Nonqualified Stock Option (right to buy) 2.76 2013-10-01 4 A 0 1500 0 A 2014-10-01 2023-10-01 Common Stock 1500 4500 D The shares vest on October 1, 2014, provided, however that all unvested Restricted Shares shall immediately vest upon the sale of or substantially all of the assets of the Company of all or substantially all of the outstanding capital stock of the Company in exchange for Liquid Proceeds. As uses herein, "Liquid Proceeds" shall mean (a) cash; (b) securities which can be sold immediately on NYSE or NASDAQ; (c) securities which are or will be registered such that they can be sold upon NYSE or NASDAQ upon termination of a lock-up period not to exceed one hundred and eighty (180) days; or (d) or a combination of cash and the foregoing securities. The Options vest on October 1, 2014; provided, however, that all unvested Options shall immediately vest upon the sale of all or substantially all of the assets of the Company or all or substantially all of the outstanding capital stock of the Company in exchange for Liquid Proceeds. /s/ Kimberly A. Burke, Attorney-in-Fact 2013-10-02