0001415889-13-001950.txt : 20131002
0001415889-13-001950.hdr.sgml : 20131002
20131002140016
ACCESSION NUMBER: 0001415889-13-001950
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: SMITH JAMES FRANCIS
CENTRAL INDEX KEY: 0001278350
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35218
FILM NUMBER: 131129612
MAIL ADDRESS:
STREET 1: 80 SW 8TH ST
CITY: MIAMI
STATE: FL
ZIP: 33130
4
1
form4-10022013_021008.xml
X0306
4
2013-10-01
0001031927
Echo Therapeutics, Inc.
ECTE
0001278350
SMITH JAMES FRANCIS
8 PENN CENTER
1628 JFK BLVD, SUITE 300
PHILADELPHIA
PA
19103
true
false
false
false
Common Stock
2013-10-01
4
A
0
400
0
A
8400
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