0000921895-14-001497.txt : 20140703
0000921895-14-001497.hdr.sgml : 20140703
20140703195657
ACCESSION NUMBER: 0000921895-14-001497
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140701
FILED AS OF DATE: 20140703
DATE AS OF CHANGE: 20140703
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: LAMPERT MARK N
CENTRAL INDEX KEY: 0001233840
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-21214
FILM NUMBER: 14961837
MAIL ADDRESS:
STREET 1: ONE SANSOME STREET
STREET 2: 30TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BVF INC/IL
CENTRAL INDEX KEY: 0001056807
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-21214
FILM NUMBER: 14961838
BUSINESS ADDRESS:
STREET 1: ONE SANSOME ST
STREET 2: 30TH 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: 000-21214
FILM NUMBER: 14961839
BUSINESS ADDRESS:
STREET 1: ONE SANSOME ST.
STREET 2: 30TH 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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BIOTECHNOLOGY VALUE FUND L P
CENTRAL INDEX KEY: 0000918923
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-21214
FILM NUMBER: 14961841
BUSINESS ADDRESS:
STREET 1: ONE SANSOME ST
STREET 2: 30TH FL
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
BUSINESS PHONE: 3125066500
MAIL ADDRESS:
STREET 1: 900 N. MICHIGAN AVENUE, SUITE 1100
CITY: CHICAGO
STATE: IL
ZIP: 60611
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: 000-21214
FILM NUMBER: 14961842
BUSINESS ADDRESS:
STREET 1: ONE SANSOME ST
STREET 2: 30TH 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: BIOTECHNOLOGY VALUE FUND II LP
CENTRAL INDEX KEY: 0001102444
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-21214
FILM NUMBER: 14961840
BUSINESS ADDRESS:
STREET 1: ONE SANSOME ST
STREET 2: 30TH 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
4
1
form407422010_07032014.xml
OWNERSHIP DOCUMENT
X0306
4
2014-07-01
0
0000887151
Capstone Therapeutics Corp.
CAPS
0001055947
BVF PARTNERS L P/IL
900 N. MICHIGAN AVE., SUITE 1100
CHICAGO
IL
60611
0
0
1
0
0000918923
BIOTECHNOLOGY VALUE FUND L P
900 N. MICHIGAN AVE., SUITE 1100
CHICAGO
IL
60611
0
0
0
1
See Explanation of Responses
0001102444
BIOTECHNOLOGY VALUE FUND II LP
900 N. MICHIGAN AVE., SUITE 1100
CHICAGO
IL
60611
0
0
0
1
See Explanation of Responses
0001132245
BVF INVESTMENTS LLC
900 N. MICHIGAN AVE., SUITE 1100
CHICAGO
IL
60611
0
0
0
1
See Explanation of Responses
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, $0.0005 par value
2014-07-01
4
J
0
616563
.3000
D
3993637
I
By BVF Investments, L.L.C.
Common Stock, $0.0005 par value
1619888
I
By Biotechnology Value Fund, L.P.
Common Stock, $0.0005 par value
996200
I
By Biotechnology Value Fund II, L.P.
This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), 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 13(d) 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.
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.
Represents an internal transfer of shares of Common Stock from BVFLLC to a fund which Partners serves as an investment adviser to, but lacks a pecuniary interest therein.
Pursuant to the operating agreement of BVFLLC, Partners is authorized, among other things, to invest the contributed capital of Samana Capital, L.P., the majority member of BVFLLC, in the Common Stock and other securities of the Issuer 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.
Shares of Common Stock owned directly by BVF. As the general partner of BVF, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVF. 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 BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVF.
Shares of Common Stock owned directly by BVF2. As the general partner of BVF2, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. 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 BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVF2.
BVF Partners L.P., By: BVF Inc., its GP, By: /s/ Mark N. Lampert, President
2014-07-03
BIOTECHNOLOGY VALUE FUND, L.P. By: BVF Partners L.P., its GP, By: BVF Inc., By: /s/ Mark N. Lampert, President
2014-07-03
BIOTECHNOLOGY VALUE FUND II, L.P., By: BVF Partners L.P., its GP, By: BVF Inc., By: /s/ Mark N. Lampert, President
2014-07-03
BVF INVESTMENTS, L.L.C., By: BVF Partners L.P., its Manager, By: BVF Inc., By: /s/ Mark N. Lampert, President
2014-07-03
BVF INC., By: /s/ Mark N. Lampert, President
2014-07-03
Mark N. Lampert, By: /s/ Mark N. Lampert
2014-07-03