Filing Details
- Accession Number:
- 0001144204-15-003580
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-01-23 18:05:39
- Reporting Period:
- 2015-01-21
- Filing Date:
- 2015-01-23
- Accepted Time:
- 2015-01-23 18:05:39
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1133869 | Capricor Therapeutics Inc. | CAPR | Pharmaceutical Preparations (2834) | 000000000 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1604726 | Edward St. John, Llc | 2560 Lord Baltimore Drive Baltimore MD 21244 | No | No | Yes | No | |
1604736 | A. Edward John St. | 2560 Lord Baltimore Drive Baltimore MD 21244 | No | No | Yes | 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 | 2015-01-21 | 425,773 | $3.52 | 425,773 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2015-01-21 | 425,773 | $3.52 | 425,773 | No | 4 | P | Indirect | By Edward St. John, LLC |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct | |
No | 4 | P | Indirect | By Edward St. John, LLC |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 1,556,141 | Indirect | By MD BTI, LLC |
Common Stock | 1,556,141 | Indirect | By MD BTI, LLC |
Common Stock | 54,602 | Direct | |
Common Stock | 324,196 | Indirect | By MD BTI, Inc. |
Footnotes
- This Form 4 is filed jointly by Edward A. St. John and Edward St. John, LLC ("St. John LLC"). The shares reported here are owned directly by St. John LLC.
- St. John LLC entered into a Share Purchase Agreement with Capricor Therapeutics, Inc. (the "Issuer") pursuant to which St. John LLC, on January 21, 2015, purchased an aggregate of 425,773 shares of the Issuer's common stock at a purchase price of $3.5230 per share for an aggregate purchase price of approximately US$1,500,000.
- The shares reported here are owned indirectly by St. John LLC.
- Mr. St. John is the sole member and general manager of St. John LLC. Accordingly, Mr. St. John is the indirect beneficial owner of the shares reported here. Mr. St. John disclaims beneficial ownership of these shares except to the extent of his pecuniary interest in the shares.
- The shares reported here are owned indirectly by Mr. St. John.
- The shares reported here are owned directly by Mr. St. John.
- The shares reported here are owned indirectly by Mr. St. John.