SEC Form 4 · accession 0001144204-15-003359
CAPRICOR THERAPEUTICS, INC. · CAPR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Louis J Grasmick
Director
Period of report
Jan 21, 2015
Accepted (ET)
Jan 22, 2015 · 7:31 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001133869
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Jan 21, 2015 | P | 141,924 | $3.523 | A | 1,039,436 | I | By Nancelou, Inc. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Nancelou, Inc. entered into a Share Purchase Agreement with Capricor Therapeutics, Inc. (the "Issuer") pursuant to which Nancelou, Inc., on January 21, 2015, purchased an aggregate of 141,924 shares of the Issuer's common stock at a purchase price of $3.5230 per share for an aggregate purchase price of approximately US$500,000.
- F21,039,436 shares of the Issuer's common stock are beneficially owned by Nancelou, Inc. Louis Grasmick and Nancy Grasmick, husband and wife, own 50% of Nancelou, Inc. as tenants by the entirety, and Grant Grasmick, the son of Louis Grasmick and Nancy Grasmick, owns the remaining 50% of Nancelou, Inc. Therefore, Louis Grasmick, Nancy Grasmick and Grant Grasmick are deemed to have shared voting and dispositive power with respect to the securities of the Issuer beneficially owned by Nancelou, Inc.