SEC Form 4 · accession 0001144204-16-088987

CAPRICOR THERAPEUTICS, INC. · CAPR

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

Reporting owners

10% Owner

10% Owner

Period of report

Mar 16, 2016

Accepted (ET)

Mar 18, 2016 · 6:01 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 Stock^F1,F2	Mar 16, 2016	P	416,666	$2.40	A	842,439	D
Common Stock^F4	Mar 16, 2016	P	416,666	$2.40	A	842,439	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.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrant^F1,F2	$4.50	Mar 16, 2016	P	208,333	A	Sep 17, 2016	Mar 16, 2019	Common Stock	208,333	208,333	D
Warrant^F4	$4.50	Mar 16, 2016	P	208,333	A	Sep 17, 2016	Mar 16, 2019	Common Stock	208,333	208,333	I

F1This 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.
F2St. 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.
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 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.
F5The shares reported here are owned indirectly by Mr. St. John.
F6The shares reported here are owned directly by Mr. St. John.
F7Thee shares reported here are owned indirectly by Mr. St. John.