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