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
  1. 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.
  2. 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.
  3. The shares reported here are owned indirectly by St. John LLC.
  4. 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.
  5. The shares reported here are owned indirectly by Mr. St. John.
  6. The shares reported here are owned directly by Mr. St. John.
  7. The shares reported here are owned indirectly by Mr. St. John.