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