0001055947-11-000018.txt : 20110713
0001055947-11-000018.hdr.sgml : 20110713
20110713180145
ACCESSION NUMBER: 0001055947-11-000018
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110711
FILED AS OF DATE: 20110713
DATE AS OF CHANGE: 20110713
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LAMPERT MARK N
CENTRAL INDEX KEY: 0001233840
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33560
FILM NUMBER: 11966541
MAIL ADDRESS:
STREET 1: ONE SANSOME STREET
STREET 2: 31ST FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Capstone Therapeutics Corp.
CENTRAL INDEX KEY: 0000887151
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 860585310
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1275 WEST WASHINGTON STREET
STREET 2: SUITE 101
CITY: TEMPE
STATE: AZ
ZIP: 85281
BUSINESS PHONE: 6022865520
MAIL ADDRESS:
STREET 1: 1275 WEST WASHINGTON STREET
STREET 2: SUITE 101
CITY: TEMPE
STATE: AZ
ZIP: 85281
FORMER COMPANY:
FORMER CONFORMED NAME: ORTHOLOGIC CORP
DATE OF NAME CHANGE: 19940211
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BVF PARTNERS L P/IL
CENTRAL INDEX KEY: 0001055947
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33560
FILM NUMBER: 11966543
BUSINESS ADDRESS:
STREET 1: ONE SANSOME ST
STREET 2: 39TH FL
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
BUSINESS PHONE: 3125066500
MAIL ADDRESS:
STREET 1: C/O GROSVENOR CAPITAL MANAGEMENT
STREET 2: 900 N. MICHIGAN AVENUE, SUITE 1100
CITY: CHICAGO
STATE: IL
ZIP: 60611
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BVF INC/IL
CENTRAL INDEX KEY: 0001056807
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33560
FILM NUMBER: 11966542
BUSINESS ADDRESS:
STREET 1: ONE SANSOME ST
STREET 2: 39TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
BUSINESS PHONE: 3125066500
MAIL ADDRESS:
STREET 1: C/O GROSVENOR CAPITAL MANAGEMENT
STREET 2: 900 N. MICHIGAN AVENUE, SUITE 1100
CITY: CHICAGO
STATE: IL
ZIP: 60611
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BVF INVESTMENTS LLC
CENTRAL INDEX KEY: 0001132245
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33560
FILM NUMBER: 11966544
BUSINESS ADDRESS:
STREET 1: ONE SANSOME ST. 39TH FL
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
BUSINESS PHONE: 3125066500
MAIL ADDRESS:
STREET 1: C/O GROSVENOR CAPITAL MANAGEMENT LP
STREET 2: 900 N. MICHIGAN AVENUE, SUITE 1100
CITY: CHICAGO
STATE: IL
ZIP: 60611
4
1
edgar.xml
PRIMARY DOCUMENT
X0303
4
2011-07-11
0000887151
Capstone Therapeutics Corp.
CAPS
0001132245
BVF INVESTMENTS LLC
900 N. MICHIGAN AVE., SUITE 1100
CHICAGO
IL
60611
0
0
0
1
See Explanation of Responses
0001055947
BVF PARTNERS L P/IL
900 N. MICHIGAN AVE., SUITE 1100
CHICAGO
IL
60611
0
0
1
0
0001056807
BVF INC/IL
900 N. MICHIGAN AVE., SUITE 1100
CHICAGO
IL
60611
0
0
1
0
0001233840
LAMPERT MARK N
900 N. MICHIGAN AVE., SUITE 1100
CHICAGO
IL
60611
0
0
1
0
Common Stock
2011-07-11
4
P
0
9000
.25
A
3192600
I
See Explanation of Responses
This Form 4 is filed jointly by BVF Investments, L.L.C. ("BVFLLC"), BVF Partners L.P. ("Partners"), BVF Inc., and Mark Lampert (collectively the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a section 13G group that collectively owns more than 10% of the Issuer's oustanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein.
Represents shares of Common Stock owned directly by BVFLLC. As the manager of BVFLLC, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVFLLC. As the investment adviser and general partner of Partners, BVF Inc., may be deemed to beneficially own the shares of Common Stock owned directly by BVFLLC. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVFLLC.
Units may represent aggregation of daily trade activity. Details regarding individual execution amounts and prices are available upon request
The shares of Common Stock are directly beneficially owned by BVF Investments, L.L.C., a Delaware limited liability company. Pursuant to the operating agreement of BVFLLC, BVF Partners, L.P., a Delaware limited partnership is authorized, among other things, to invest the contributed capital of Samana Capital, L.P., the majority member of BVFLLC, in the shares of Common Stock and other securities and to vote, exercise or convert and dispose of such securities and is entitled to receive fees based on assets under management and, subject to certain exceptions, allocations based on realized and unrealized gains on such assets.
BVF Partners L.P., By: BVF Inc., its GP, By: /s/ Mark N. Lampert, President
2011-07-13
BVF INVESTMENTS, L.L.C., By: BVF Partners L.P., its Manager, By: BVF Inc., By: /s/ Mark N. Lampert, President
2011-07-13
BVF INC., By: /s/ Mark N. Lampert, President
2011-07-13
Mark N. Lampert, By: /s/ Mark N. Lampert
2011-07-13