Filing Details

Accession Number:
0001103021-21-000110
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-11-09 10:28:51
Reporting Period:
2021-11-05
Accepted Time:
2021-11-09 10:28:51
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1103021 Biodelivery Sciences International Inc BDSI Pharmaceutical Preparations (2834) 352089858
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1511900 Ltd Fund Master Healthcare Broadfin 20 Genesis Close Ansbacher House,
Second Floor, P.o. Box 1344
Grand Cayman Ky1-1108 E9
Yes No No No
1511901 Broadfin Capital, Llc 200 Broadhollow Road, Suite 207
Melville NY 11747
Yes No No No
1601692 Kevin Kotler 200 Broadhollow Road, Suite 207
Melville NY 11747
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2021-11-05 257,800 $3.47 4,958,489 No 4 P Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See Footnote
Footnotes
  1. There are 4,400,689 shares of Common Stock 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. Kevin Kotler affirmatively (i) disclaims beneficial ownership of the reportable securities, (ii) states that this report shall not be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 ("Section 16") of the Securities Exchange Act of 1934, as amended (the "Act") or any other purpose, except to the extent of his pecuniary interest therein, and (iii) disclaims being a "group" for purposes of Section 16.
  2. 557,800 shares of Common Stock are held in the account of Broadfin Holdings, LLC., a private investment fund, and are deemed to be beneficially owned by Kevin Kotler, managing member of Broadfin Holdings, LLC.