0000919574-20-000374.txt : 20200115 0000919574-20-000374.hdr.sgml : 20200115 20200115172508 ACCESSION NUMBER: 0000919574-20-000374 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200109 FILED AS OF DATE: 20200115 DATE AS OF CHANGE: 20200115 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KOTLER KEVIN CENTRAL INDEX KEY: 0001601692 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-17082 FILM NUMBER: 20528928 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-17082 FILM NUMBER: 20528929 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-17082 FILM NUMBER: 20528930 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: 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 3 1 ownership.xml X0206 3 2020-01-09 0 0000827809 NOVELION THERAPEUTICS INC. NVLNF 0001511900 Broadfin Healthcare Master Fund Ltd 20 GENESIS CLOSE, ANSBACHER HOUSE SECOND FLOOR, P.O. 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 Common Shares 2541222 D Warrants COMMON SHARES D 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 (collectively, the "Reporting Persons") 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 "Act"). Broadfin Healthcare Master Fund, Ltd. owns 909,296 warrants with a strike price of $4.40 which expire on 3/16/2022. The warrants 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 9.99% of the Common Shares outstanding immediately after giving effect to such conversion. BROADFIN HEALTHCARE MASTER FUND, LTD., By: /s/ Kevin Kotler, Director 2020-01-15 BROADFIN CAPITAL, LLC, By: /s/ Kevin Kotler, Managing Member 2020-01-15 /s/ Kevin Kotler 2020-01-15