0001144204-16-088987.txt : 20160318
0001144204-16-088987.hdr.sgml : 20160318
20160318180155
ACCESSION NUMBER: 0001144204-16-088987
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160316
FILED AS OF DATE: 20160318
DATE AS OF CHANGE: 20160318
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: CAPRICOR THERAPEUTICS, INC.
CENTRAL INDEX KEY: 0001133869
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 8840 WILSHIRE BLVD
STREET 2: 2ND FLOOR
CITY: BEVERLY HILLS
STATE: CA
ZIP: 90211
BUSINESS PHONE: (310) 358-3200
MAIL ADDRESS:
STREET 1: 8840 WILSHIRE BLVD
STREET 2: 2ND FLOOR
CITY: BEVERLY HILLS
STATE: CA
ZIP: 90211
FORMER COMPANY:
FORMER CONFORMED NAME: Nile Therapeutics, Inc.
DATE OF NAME CHANGE: 20070920
FORMER COMPANY:
FORMER CONFORMED NAME: SMI PRODUCTS INC
DATE OF NAME CHANGE: 20010206
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Edward St. John, LLC
CENTRAL INDEX KEY: 0001604726
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34058
FILM NUMBER: 161517124
BUSINESS ADDRESS:
STREET 1: 2560 LORD BALTIMORE DRIVE
CITY: BALTIMORE
STATE: MD
ZIP: 21244
BUSINESS PHONE: 410-788-0100
MAIL ADDRESS:
STREET 1: 2560 LORD BALTIMORE DRIVE
CITY: BALTIMORE
STATE: MD
ZIP: 21244
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: St. John Edward A.
CENTRAL INDEX KEY: 0001604736
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34058
FILM NUMBER: 161517125
MAIL ADDRESS:
STREET 1: 2560 LORD BALTIMORE DRIVE
CITY: BALTIMORE
STATE: MD
ZIP: 21244
4
1
v434790_4.xml
OWNERSHIP DOCUMENT
X0306
4
2016-03-16
0
0001133869
CAPRICOR THERAPEUTICS, INC.
CAPR
0001604736
St. John Edward A.
2560 LORD BALTIMORE DRIVE
BALTIMORE
MD
21244
0
0
1
0
0001604726
Edward St. John, LLC
2560 LORD BALTIMORE DRIVE
BALTIMORE
MD
21244
0
0
1
0
Common Stock
2016-03-16
4
P
0
416666
2.40
A
842439
D
Common Stock
1556141
I
By MD BTI, LLC
Common Stock
2016-03-16
4
P
0
416666
2.40
A
842439
I
By Edward St. John, LLC
Common Stock
1556141
I
By MD BTI, LLC
Common Stock
54602
D
Common Stock
324196
I
By MD BTI, Inc.
Warrant
4.50
2016-03-16
4
P
0
208333
0
A
2016-09-17
2019-03-16
Common Stock
208333
208333
D
Warrant
4.50
2016-03-16
4
P
0
208333
0
A
2016-09-17
2019-03-16
Common Stock
208333
208333
I
See Footnote
This Form 4 is filed jointly by Edward A. St. John and Edward St. John, LLC ("St. John LLC"). The shares and warrants reported here are owned directly by St. John LLC.
St. John LLC entered into a Subscription Agreement with Capricor Therapeutics, Inc. (the "Issuer") pursuant to which St. John LLC, on March 16, 2016, purchased an aggregate of 416,666 shares of the Issuer's common stock at a purchase price of $2.40 per share for an aggregate purchase price of approximately US$1,000,000. In connection with the purchase of shares, St. John LLC also received a warrant to purchase up to 208,333 shares of the Issuer's common stock at a strike price of $4.50 per share, exercisable at any time between September 17, 2016 and March 16, 2019.
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 and warrants reported here. Mr. St. John disclaims beneficial ownership of these shares and warrants except to the extent of his pecuniary interest in the shares and warrants.
The shares reported here are owned indirectly by Mr. St. John.
The shares reported here are owned directly by Mr. St. John.
Thee shares reported here are owned indirectly by Mr. St. John.
/s/ Joseph P. Ward, attorney-in-fact
2016-03-18
/s/ Joseph P. Ward, attorney-in-fact
2016-03-18