X0206 3 2013-07-11 0 0001031927 Echo Therapeutics, Inc. ECTE 0001299265 Platinum Partners Value Arbitrage Fund, LP C/O PLATINUM MANAGEMENT (NY) LLC 152 WEST 57TH STREET, 4TH FLOOR NEW YORK NY 10019 0 0 1 0 0001339643 Nordlicht Mark 152 WEST 57TH STREET 4TH FLOOR NEW YORK NY 10019 0 0 1 0 0001368616 Platinum Management (NY) LLC 152 WEST 57TH STREET NEW YORK NY 10019 0 0 1 0 0001120642 LANDESMAN URI 152 WEST 57TH STREET 4TH FLOOR NEW YORK NY 10019 0 0 1 0 0001413041 Platinum Long Term Growth VII, LLC 152 WEST 57TH STREET 4TH FLOOR NEW YORK NY 10019 0 0 1 0 0001476165 Platinum Partners Liquid Opportunity Master Fund L.P. C/O PLATINUM MANAGEMENT (NY) LLC 152 WEST 57 STREET, 4TH FLOOR NEW YORK NY 10019 0 0 1 0 0001404598 Platinum-Montaur Life Sciences, LLC 152 WEST 57TH STREET 4TH FLOOR NEW YORK NY 10019 0 0 1 0 Common Stock 452169 D Common Stock 564538 D Series C Convertible Preferred Stock 9.30 Common Stock 311308 D Series C Convertible Preferred Stock 9.30 Common Stock 100000 D Series C Convertible Preferred Stock 9.30 Common Stock 586110 D Series D Convertible Preferred Stock 10 Common Stock 100000 D Series D Convertible Preferred Stock 10 Common Stock 200600 D Warrants 20 2017-08-31 Common Stock 400000 D Warrants 21.30 2017-09-20 Common Stock 100000 D Warrants 22.70 2017-10-17 Common Stock 50000 D Warrants 21.10 2017-11-06 Common Stock 150000 D Reflects the securities of the issuer owned directly by Platinum Partners Value Arbitrage Fund L.P. ("PPVA"). Reflects the securities of the issuer owned directly by Platinum Partners Liquid Opportunity Master Fund L.P., ("PPLO"). Reflects the securities of the issuer owned directly by Platinum Long Term Growth VII, LLC ("Platinum VII"). Reflects the securities of the issuer owned directly by Platinum-Montaur Life Sciences, LLC ("Platinum-Montaur"). The securities reported herein are held by Platinum VII, PPLO, Platinum-Montaur and PPVA. Platinum VII and Platinum-Montaur are subsidiaries of PPVA (collectively, the "Funds"). Platinum Management (NY) LLC ("Platinum Management") is the investment manager and general partner of PPVA and is the investment manager of Platinum VII and Platinum-Montaur. Platinum Liquid Opportunity Management (NY) LLC ("Platinum Liquid Management") is the investment manager of PPLO. Platinum Liquid Opportunity GP LLC is the general partner of PPLO. Mr. Nordlicht and Uri Landesman are the controlling persons of Platinum Management, Platinum Liquid Management and Platinum Liquid Opportunity GP LLC. Platinum Management, Platinum Liquid Management, Platinum Liquid Opportunity GP LLC, Mark Nordlicht and Uri Landesman may each be deemed to indirectly beneficially own the securities held by the Funds. For purposes of this Form 3, Platinum Management, Platinum Liquid Management, Platinum Liquid Opportunity GP LLC and Messrs. Nordlicht and Landesman each disclaims beneficial ownership of the securities beneficially owned by the Funds, except to the extent of its or his pecuniary interest therein. The Series C Convertible Preferred Stock and Series D Convertible Preferred Stock are immediately convertible into shares of common stock and do not have expiration dates. The warrants are immediately exercisable. Pursuant to the terms of the warrants, the number of shares of common stock for which the warrants are exercisable is limited pursuant to the terms of the warrants to that number of shares of common stock which would result in the reporting persons having aggregate beneficial ownership of 4.99% of the total issued and outstanding shares of common stock (the "Ownership Limitation"). The warrants provide that Platinum-Montaur may waive such Ownership Limitation upon 61-days' prior written notice and increase such limitation up to 9.99%, which Platinum-Montaur has not done as of the date of this filing. Uri Landesman, President of Platinum Management (NY) LLC, as general partner of Platinum Partners Value Arbitrage Fund L.P. 2013-07-22