Capstone Holding Corp. — Director's Dealing 2018

Jan 22, 2018

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Capstone Therapeutics Corp. (CAPS)
CIK: 0000887151
Period of Report: 2018-01-12

Reporting Person: SUBIN NEIL S (10% Owner)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	2914484	Indirect
Common Stock	2914484	Indirect
Common Stock	641218	Indirect
Common Stock	90344	Indirect
Common Stock	472792	Indirect
Common Stock	624100	Indirect

Footnotes

F1: Except for possessing voting and dispositive power, the reporting person disclaims any other beneficial ownership of, and specifically any pecuniary interest in, the securities reported herein. This filing is not, and shall not be deemed, an admission (and the reporting person expressly disclaims) that the reporting person is, for purposes of Rule 16a-1(a)(2) under Section 16 of the Securities Exchange Act of 1934, the beneficial owner of any equity securities covered by this filing.

F2: Mr. Neil Subin has succeeded to the position of President and Manager of MILFAM LLC, which serves as manager, general partner, or investment advisor of a number of entities formerly managed or advised by the late Lloyd I. Miller, III. Mr. Subin also serves as trustee of a number of Miller family trusts. There has been no acquisition transaction by the reporting person with respect to the securities reported herein within the meaning of Section 16 of the Securities Exchange Act.