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Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2015-01-22 19:25:29
Reporting Period:
Filing Date:
Accepted Time:
2015-01-22 19:25:29
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
1133869 Capricor Therapeutics Inc. CAPR Pharmaceutical Preparations (2834) 000000000
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1221355 A Joshua Kazam C/o Two River Group Holdings, Llc
689 Fifth Avenue, 12Th Floor
New York NY 10022
Yes No No 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 7,096 $3.52 38,084 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 12,276 Indirect By Kazam Family Trust
Common Stock 3,310 Indirect By Spouse for Minor Child
Common Stock 3,310 Indirect By Kash Family Foundation
  1. The Reporting Person entered into a Share Purchase Agreement with Capricor Therapeutics, Inc. (the "Issuer") pursuant to which the Reporting Person, on January 21, 2015, purchased an aggregate of 7,096 shares of the Issuer's common stock at a purchase price of $3.5230 per share for an aggregate purchase price of approximately US$25,000.
  2. Held by the Reporting Person's spouse as custodian for the benefit of their minor child under the Uniform Gift to Minors Act. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or any other purpose.
  3. The Reporting Person is the Co-Trustee of the Kash Family Foundation and he and the other co-trustee have the ability to vote and dispose of the shares held by the Foundation. However, the Reporting Person has no pecuniary interest in the shares held by the Foundation.