SEC Form 4 · accession 0001144204-15-003367
CAPRICOR THERAPEUTICS, INC. · CAPR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Louis Manzo
Director
Period of report
Jan 21, 2015
Accepted (ET)
Jan 22, 2015 · 7:39 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 Stock | Jan 21, 2015 | P | 28,384 | $3.523 | A | 28,384 | D | |
| Common StockF2 | holding | — | — | — | 638,155 | I | By Coniston Corporation |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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 28,384 shares of the Issuer's common stock at a purchase price of $3.5230 per share for an aggregate purchase price of approximately US$100,000.
- F2638,155 shares of common stock of the Issuer are beneficially owned by Coniston Corporation. The Reporting Person is the President of Coniston Corporation. The equity securities of Coniston Corporation are held by the Reporting Person and irrevocable trusts for the benefit of the Reporting Person's children.