SEC Form 4 · accession 0001144204-17-026396
CAPRICOR THERAPEUTICS, INC. · CAPR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Louis Manzo
Director
Period of report
May 9, 2017
Accepted (ET)
May 11, 2017 · 2:31 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 | May 9, 2017 | P | 10,000 | $3.10 | A | 138,384 | 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 Subscription Agreement with Capricor Therapeutics, Inc. (the "Issuer") pursuant to which the Reporting Person, on May 5, 2017 purchased an aggregate of 10,000 shares of the Issuer's common stock at a purchase price of $3.10 per share for total cash proceeds of approximately US$31,000.
- F2638,155 shares of common stock of the Issuer are beneficially owned by Coniston Corporation. The equity securities of Coniston Corporation are held by the Reporting Person and irrevocable trusts for the benefit of the children of the Reporting Person of which the Reporting Person is not the trustee. The Reporting Person has sole voting power over Coniston Corporation and therefore may be deemed to have sole voting and dispositive power with respect to all securities of the Issuer beneficially owned by Coniston Corporation..