0000919574-19-007363.txt : 20191119
0000919574-19-007363.hdr.sgml : 20191119
20191119213145
ACCESSION NUMBER: 0000919574-19-007363
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191115
FILED AS OF DATE: 20191119
DATE AS OF CHANGE: 20191119
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KOTLER KEVIN
CENTRAL INDEX KEY: 0001601692
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-31361
FILM NUMBER: 191232891
MAIL ADDRESS:
STREET 1: C/O BROADFIN CAPITAL, LLC
STREET 2: 300 PARK AVENUE, 25TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Broadfin Capital, LLC
CENTRAL INDEX KEY: 0001511901
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-31361
FILM NUMBER: 191232892
BUSINESS ADDRESS:
STREET 1: 300 PARK AVENUE, 25TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-808-2468
MAIL ADDRESS:
STREET 1: 300 PARK AVENUE, 25TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Broadfin Healthcare Master Fund Ltd
CENTRAL INDEX KEY: 0001511900
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-31361
FILM NUMBER: 191232893
BUSINESS ADDRESS:
STREET 1: MORGAN STANLEY FUND SVCS (CAYMAN) LTD
STREET 2: CAYMAN CORPORATE CENTRE, 27 HOSPITAL RD
CITY: GRAND CAYMAN
STATE: E9
ZIP: KY1-9008
BUSINESS PHONE: 212-808-2460
MAIL ADDRESS:
STREET 1: MORGAN STANLEY FUND SVCS (CAYMAN) LTD
STREET 2: CAYMAN CORPORATE CENTRE, 27 HOSPITAL RD
CITY: GRAND CAYMAN
STATE: E9
ZIP: KY1-9008
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: BIODELIVERY SCIENCES INTERNATIONAL INC
CENTRAL INDEX KEY: 0001103021
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 352089858
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 4131 PARKLAKE AVENUE
STREET 2: SUITE 225
CITY: RALEIGH
STATE: NC
ZIP: 27612
BUSINESS PHONE: 919 582 9050
MAIL ADDRESS:
STREET 1: 4131 PARKLAKE AVENUE
STREET 2: SUITE 225
CITY: RALEIGH
STATE: NC
ZIP: 27612
FORMER COMPANY:
FORMER CONFORMED NAME: MAS ACQUISITION XXIII CORP
DATE OF NAME CHANGE: 20000111
4
1
ownership.xml
X0306
4
2019-11-15
0
0001103021
BIODELIVERY SCIENCES INTERNATIONAL INC
BDSI
0001511900
Broadfin Healthcare Master Fund Ltd
20 GENESIS CLOSE
ANSBACHER HOUSE, SECOND FLOOR, 1344
GRAND CAYMAN
E9
KY1-1108
CAYMAN ISLANDS
1
0
0
0
0001511901
Broadfin Capital, LLC
300 PARK AVENUE
25TH FLOOR
NEW YORK
NY
10022
1
0
0
0
0001601692
KOTLER KEVIN
C/O BROADFIN CAPITAL, LLC
300 PARK AVENUE, 25TH FLOOR
NEW YORK
NY
10022
1
0
0
0
Common Stock
2019-11-15
2019-11-15
4
S
0
2206243
6.037
D
2093823
I
See Footnote
Common Stock
2019-11-18
2019-11-18
4
S
0
293757
5.9034
D
1800066
I
See Footnote
Common Stock
2019-11-18
2019-11-18
4
S
0
1500000
5.90
D
300066
I
See Footnote
Common Stock
2019-11-18
2019-11-18
4
C
0
4000000
1.80
A
4300066
I
See Footnote
Series B Convertible Preferred Stock
1.80
2019-11-18
2019-11-18
4
C
0
720
10000
D
2019-11-18
Common Stock
4000000
796
I
See Footnote
The securities are held in the account of Broadfin Healthcare Master Fund, Ltd., a private investment fund managed by Broadfin Capital, LLC and may be deemed to be beneficially owned by Kevin Kotler, managing member of Broadfin Capital, LLC. Each of Broadfin Capital, LLC, Broadfin Healthcare Master Fund, Ltd. and Kevin Kotler disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.
The securities may not be converted if, after such conversion, the Reporting Person would beneficially own, as determined in accordance with Section 13(d) of the Act, more than 9.98% of the Common Stock outstanding immediately after giving effect to such conversion. The securities do not have an expiration date, but the issuer may force conversion of the securities, subject to certain limitations.
Broadfin Healthcare Master Fund, Ltd., By: /s/ Kevin Kotler, Director
2019-11-19
Broadfin Capital, LLC By: /s/ Kevin Kotler, Managing Member
2019-11-19
/s/ Kevin Kotler
2019-11-19