SEC Form 4 · accession 0001144204-15-051389
CAPRICOR THERAPEUTICS, INC. · CAPR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Louis J Grasmick
Director
Period of report
Aug 19, 2015
Accepted (ET)
Aug 21, 2015 · 9:13 pm EDT
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 StockF1 | Aug 19, 2015 | P | 1,320 | $4.22 | A | 1,320 | D | |
| Common StockF1 | Aug 20, 2015 | P | 4,630 | $4.077 | A | 5,950 | D | |
| Common Stock | Aug 19, 2015 | P | 1,320 | $4.22 | A | 1,320 | I | By spouse. |
| Common Stock | Aug 20, 2015 | P | 4,630 | $4.077 | A | 5,950 | I | By spouse. |
| Common StockF2 | holding | — | — | — | 1,039,436 | I | By Nancelou, Inc. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares held by the Reporting Person with his spouse as tenants by the entirety.
- 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.