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