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Filing Details

Accession Number:: 0000921895-17-001936
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-07-18 19:59:00
Reporting Period:: 2017-07-14

Filing Date:: 2017-07-18
Accepted Time:: 2017-07-18 19:59:00
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
887151	Capstone Therapeutics Corp.	CAPS	Pharmaceutical Preparations (2834)	860585310

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
918923	P L Fund Value Biotechnology	1 Sansome St 30Th Fl San Francisco CA 94104	No	No	No	Yes
1055947	P/Il L Partners Bvf	1 Sansome St 30Th Fl San Francisco CA 94104	No	No	No	Yes
1056807	Bvf Inc/Il	1 Sansome St 30Th Fl San Francisco CA 94104	No	No	No	Yes
1102444	Biotechnology Value Fund Ii Lp	1 Sansome St 30Th Fl San Francisco CA 94104	No	No	No	Yes
1132245	Bvf Investments Llc	1 Sansome St 30Th Fl San Francisco CA 94104	No	No	No	Yes
1233840	N Mark Lampert	1 Sansome St 30Th Fl San Francisco CA 94104	No	No	No	Yes

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock, $0.0005 Par Value	Disposition	2017-07-14	3,993,637	$0.06	0	No	4	S	Indirect	By BVF Investments, L.L.C.
Common Stock, $0.0005 Par Value	Disposition	2017-07-14	242,236	$0.06	1,377,652	No	4	S	Indirect	By Biotechnology Value Fund, L.P.
Common Stock, $0.0005 Par Value	Disposition	2017-07-14	105,713	$0.06	890,487	No	4	S	Indirect	By Biotechnology Value Fund II, L.P.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	By BVF Investments, L.L.C.
No	4	S	Indirect	By Biotechnology Value Fund, L.P.
No	4	S	Indirect	By Biotechnology Value Fund II, L.P.

Footnotes

This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), BVF Investments, L.L.C. ("BVFLLC"), BVF Partners L.P. ("Partners"), BVF Inc., and Mark Lampert (collectively the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13G group that no longer owns more than 10% of the Issuer's outstanding shares of Common Stock pursuant to Rule 16a-1(a)(1). Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein.
Shares of Common Stock owned directly by BVFLLC. As the manager of BVFLLC, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVFLLC. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by BVFLLC. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVFLLC.
Pursuant to the operating agreement of BVFLLC, Partners is authorized, among other things, to invest the contributed capital of Samana Capital, L.P., the majority member of BVFLLC, in the Common Stock and other securities of the Issuer and to vote, exercise or convert and dispose of such securities and is entitled to receive fees based on assets under management and, subject to certain exceptions, allocations based on realized and unrealized gains on such assets.
Shares of Common Stock owned directly by BVF. As the general partner of BVF, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVF.
Shares of Common Stock owned directly by BVF2. As the general partner of BVF2, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVF2.
On the Transaction Date, the Reporting Persons entered into and consummated a private sale with an entity that is unaffiliated with the Reporting Persons.