0001144204-16-089002.txt : 20160318
0001144204-16-089002.hdr.sgml : 20160318
20160318213048
ACCESSION NUMBER: 0001144204-16-089002
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160316
FILED AS OF DATE: 20160318
DATE AS OF CHANGE: 20160318
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: CAPRICOR THERAPEUTICS, INC.
CENTRAL INDEX KEY: 0001133869
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 8840 WILSHIRE BLVD
STREET 2: 2ND FLOOR
CITY: BEVERLY HILLS
STATE: CA
ZIP: 90211
BUSINESS PHONE: (310) 358-3200
MAIL ADDRESS:
STREET 1: 8840 WILSHIRE BLVD
STREET 2: 2ND FLOOR
CITY: BEVERLY HILLS
STATE: CA
ZIP: 90211
FORMER COMPANY:
FORMER CONFORMED NAME: Nile Therapeutics, Inc.
DATE OF NAME CHANGE: 20070920
FORMER COMPANY:
FORMER CONFORMED NAME: SMI PRODUCTS INC
DATE OF NAME CHANGE: 20010206
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GRASMICK LOUIS J
CENTRAL INDEX KEY: 0001261186
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34058
FILM NUMBER: 161517399
MAIL ADDRESS:
STREET 1: GRASMICK LUMBER
STREET 2: 6715 QUAD AVENUE
CITY: BALTIMORE
STATE: MD
ZIP: 21237
4
1
v434767_4.xml
OWNERSHIP DOCUMENT
X0306
4
2016-03-16
0
0001133869
CAPRICOR THERAPEUTICS, INC.
CAPR
0001261186
GRASMICK LOUIS J
C/O CAPRICOR THERAPEUTICS, INC.
8840 WILSHIRE BLVD., 2ND FLOOR
BEVERLY HILLS
CA
90211
1
0
0
0
Common Stock
2016-03-16
4
P
0
71065
2.40
A
77015
D
Common Stock
2016-03-16
4
P
0
20304
2.40
A
1059740
I
By Nancelou, Inc.
Warrants (Right to Buy)
4.50
2016-03-16
4
P
0
35532
0.125
A
2016-09-17
2019-03-16
Common Stock
35532
35532
D
Warrants (Right to Buy)
4.50
2016-03-16
4
P
0
10152
0.125
A
2016-09-17
2019-03-16
Common Stock
10152
10152
I
By Nancelou, Inc.
The Reporting Person and his spouse, tenants by the entirety, entered into a Subscription Agreement with Capricor Therapeutics, Inc. (the "Issuer") pursuant to which the Reporting Person and his spouse, tenants by the entirety, on March 16, 2016, purchased (i) 71,065 shares of the Issuer's common stock at a purchase price of $2.40 per share, and (ii) warrants to purchase up to an aggregate of 35,532 shares of the Issuer's common stock at a purchase price of $0.125 per share issuable upon exercise of the warrants, for an aggregate purchase price of approximately $175,000.
These securities of the Issuer are held by the Reporting Person with his spouse as tenants by the entirety.
Nancelou, Inc. entered into a Subscription Agreement with the Issuer pursuant to which Nancelou, Inc., on March 16, 2016, purchased (i) 20,304 shares of the Issuer's common stock at a purchase price of $2.40 per share, and (ii) warrants to purchase up to an aggregate of 10,152 shares of the Issuer's common stock at a purchase price of $0.125 per share issuable upon exercise of the warrants, for an aggregate purchase price of approximately $50,000.
These securities of the Issuer are beneficially owned by Nancelou, Inc. Louis Grasmick and Nancy Grasmick, husband and wife, own 50% of Nancelou, Inc. as tenants by the entirety, and Grant Grasmick, the son of Louis Grasmick and Nancy Grasmick, owns the remaining 50% of Nancelou, Inc. Therefore, Louis Grasmick, Nancy Grasmick and Grant Grasmick are deemed to have shared voting and dispositive power with respect to the securities of the Issuer beneficially owned by Nancelou, Inc.
/s/ Linda Marban, as Attorney-in-Fact
2016-03-18