0000919574-18-005360.txt : 20180813 0000919574-18-005360.hdr.sgml : 20180813 20180813175925 ACCESSION NUMBER: 0000919574-18-005360 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180809 FILED AS OF DATE: 20180813 DATE AS OF CHANGE: 20180813 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: 000-17082 FILM NUMBER: 181013595 BUSINESS ADDRESS: STREET 1: C/O 20 GENESIS CLOSE STREET 2: ANSBACHER HOUSE, 2ND FLOOR, PO BOX 1344 CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-1108 BUSINESS PHONE: 212-808-2460 MAIL ADDRESS: STREET 1: C/O 20 GENESIS CLOSE STREET 2: ANSBACHER HOUSE, 2ND FLOOR, PO BOX 1344 CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-1108 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: 000-17082 FILM NUMBER: 181013596 BUSINESS ADDRESS: STREET 1: 300 PARK AVENUE, 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-808-2463 MAIL ADDRESS: STREET 1: 300 PARK AVENUE, 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 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: 000-17082 FILM NUMBER: 181013597 MAIL ADDRESS: STREET 1: C/O BROADFIN CAPITAL, LLC STREET 2: 300 PARK AVENUE, 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NOVELION THERAPEUTICS INC. CENTRAL INDEX KEY: 0000827809 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: A1 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: C/O NORTON ROSE FULBRIGHT STREET 2: 1800 - 510 WEST GEORGIA STREET CITY: VANCOUVER STATE: A1 ZIP: V6B 0M3 BUSINESS PHONE: (877) 764-3131 MAIL ADDRESS: STREET 1: C/O NORTON ROSE FULBRIGHT STREET 2: 1800 - 510 WEST GEORGIA STREET CITY: VANCOUVER STATE: A1 ZIP: V6B 0M3 FORMER COMPANY: FORMER CONFORMED NAME: QLT INC/BC DATE OF NAME CHANGE: 20000608 FORMER COMPANY: FORMER CONFORMED NAME: QLT PHOTO THERAPEUTICS INC DATE OF NAME CHANGE: 19960618 FORMER COMPANY: FORMER CONFORMED NAME: QUADRA LOGIC TECHNOLOGIES INC DATE OF NAME CHANGE: 19941201 4 1 ownership.xml X0306 4 2018-08-09 0 0000827809 NOVELION THERAPEUTICS INC. NVLN 0001511900 Broadfin Healthcare Master Fund Ltd 20 GENESIS CLOSE ANSBACHER HOUSE, 2ND FLOOR, PO BOX 1344 GRAND CAYMAN E9 KY1-1108 CAYMAN ISLANDS 0 0 1 0 0001511901 Broadfin Capital, LLC 300 PARK AVENUE 25TH FLOOR NEW YORK NY 10022 0 0 1 0 0001601692 KOTLER KEVIN C/O BROADFIN CAPITAL, LLC 300 PARK AVENUE, 25TH FLOOR NEW YORK NY 10022 0 0 1 0 Stock Option (Right to Buy) 3.33 2018-08-09 4 G 0 10000 0.00 D 2028-08-09 Common Shares 10000 19600 D Stock Option (Right to Buy) 3.33 2018-08-09 4 G 0 10000 0.00 A 2028-08-09 Common Shares 10000 19600 D Each stock option has an exercise price equal to the closing price of a common share of the Issuer on the Nasdaq Global Select Market on the grant date. The option shall vest in twelve equal monthly installments, beginning one month after the grant date. The stock options were granted to Kevin Kotler for service as a member of the Issuer's Board of Directors. 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. BROADFIN HEALTHCARE MASTER FUND, LTD. By: /s/ Kevin Kotler Kevin Kotler, Director 2018-08-13 BROADFIN CAPITAL, LLC By: /s/ Kevin Kotler Kevin Kotler, Managing Member 2018-08-13 KEVIN KOTLER /s/ Kevin Kotler 2018-08-13