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