SEC Form 4 · accession 0000919574-17-008470
ARATANA THERAPEUTICS, INC. · PETX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Broadfin Healthcare Master Fund Ltd
10% Owner
Broadfin Capital, LLC
10% Owner
Kevin Kotler
10% Owner
Period of report
Nov 29, 2017
Accepted (ET)
Dec 1, 2017 · 5:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001509190
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 29, 2017 | S | 1,000 | $6.66 | D | 5,183,942 | D | |
| Common StockF1 | Nov 29, 2017 | S | 49,865 | $6.60 | D | 5,134,077 | D | |
| Common StockF1 | Nov 29, 2017 | S | 5,751 | $6.55 | D | 5,128,326 | D | |
| Common StockF1 | Nov 29, 2017 | S | 50,000 | $6.50 | D | 5,078,326 | D | |
| Common StockF1 | Nov 29, 2017 | S | 7,700 | $6.35 | D | 5,070,626 | D | |
| Common StockF1 | Nov 29, 2017 | S | 300 | $6.28 | D | 5,070,326 | D | |
| Common StockF1 | Nov 29, 2017 | S | 1,900 | $6.26 | D | 5,068,426 | D | |
| Common StockF1 | Nov 30, 2017 | S | 100 | $6.03 | D | 5,068,326 | D | |
| Common StockF1 | Nov 30, 2017 | S | 11,472 | $5.97 | D | 5,056,854 | D | |
| Common StockF1 | Nov 30, 2017 | S | 100,000 | $5.95 | D | 4,956,854 | D | |
| Common StockF1 | Nov 30, 2017 | S | 50,000 | $5.95 | D | 4,906,854 | D | |
| Common StockF1 | Nov 30, 2017 | S | 50,000 | $5.90 | D | 4,856,854 | D | |
| Common StockF1 | Dec 1, 2017 | S | 72,000 | $5.65 | D | 4,784,854 | D | |
| Common StockF1 | Dec 1, 2017 | S | 8,020 | $5.53 | D | 4,776,834 | D | |
| Common StockF1 | Dec 1, 2017 | S | 5,110 | $5.52 | D | 4,771,724 | D | |
| Common StockF1 | Dec 1, 2017 | S | 100 | $5.47 | D | 4,771,624 | D | |
| Common StockF1 | Dec 1, 2017 | S | 50,000 | $5.45 | D | 4,721,624 | D | |
| Common StockF1 | Dec 1, 2017 | S | 1,900 | $5.44 | D | 4,719,724 | D | |
| Common StockF1 | Dec 1, 2017 | S | 425,298 | $5.40 | D | 4,294,426 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Common Stock 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.