SEC Form 4 · accession 0001144204-15-003580

CAPRICOR THERAPEUTICS, INC. · CAPR

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners

10% Owner

10% Owner

Period of report

Jan 21, 2015

Accepted (ET)

Jan 23, 2015 · 6:05 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^F1,F2	Jan 21, 2015	P	425,773	$3.523	A	425,773	D
Common Stock^F4	Jan 21, 2015	P	425,773	$3.523	A	425,773	I	By Edward St. John, LLC
Common Stock^F3	holding	—	—		—	1,556,141	I	By MD BTI, LLC
Common Stock^F5	holding	—	—		—	1,556,141	I	By MD BTI, LLC
Common Stock^F6	holding	—	—		—	54,602	D
Common Stock^F7	holding	—	—		—	324,196	I	By MD BTI, Inc.

No Table II lines on this filing.

F1This Form 4 is filed jointly by Edward A. St. John and Edward St. John, LLC ("St. John LLC"). The shares reported here are owned directly by St. John LLC.
F2St. John LLC entered into a Share Purchase Agreement with Capricor Therapeutics, Inc. (the "Issuer") pursuant to which St. John LLC, on January 21, 2015, purchased an aggregate of 425,773 shares of the Issuer's common stock at a purchase price of $3.5230 per share for an aggregate purchase price of approximately US$1,500,000.
F3The shares reported here are owned indirectly by St. John LLC.
F4Mr. 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 reported here. Mr. St. John disclaims beneficial ownership of these shares except to the extent of his pecuniary interest in the shares.
F5The shares reported here are owned indirectly by Mr. St. John.
F6The shares reported here are owned directly by Mr. St. John.
F7The shares reported here are owned indirectly by Mr. St. John.