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Capstone Holding Corp. — Director's Dealing 2016
Jun 9, 2016
35323_dirs_2016-06-09_a3b86ecc-8a5b-4ff9-aa30-ec5a9e2960f9.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Capstone Therapeutics Corp. (CAPS)
CIK: 0000887151
Period of Report: 2016-06-08
Reporting Person: MILLER LLOYD I III (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-06-08 | Common Stock | S | 14000 | $0.08 | Disposed | 5924968 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 472792 | Indirect |
| Common Stock | 90344 | Indirect |
| Common Stock | 641218 | Indirect |
| Common Stock | 0 | Indirect |
| Common Stock | 724100 | Indirect |
| Common Stock | 58967 | Direct |
Footnotes
F1: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. This filing shall not be deemed an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of any equity securities covered by this filing.
F2: On May 9, 2014, 95,756 securities held by Milgrat (Q8) were transferred to Trust C. Such transaction only effected a change in the form of beneficial ownership without changing the reporting person's pecuniary interest in such securities and was exempt from Section 16 of the Securities Exchange Act of 1934 pursuant to Rule 16a-13.