0001144204-17-026585.txt : 20170511 0001144204-17-026585.hdr.sgml : 20170511 20170511205653 ACCESSION NUMBER: 0001144204-17-026585 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170509 FILED AS OF DATE: 20170511 DATE AS OF CHANGE: 20170511 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: CEDARS SINAI MEDICAL CENTER CENTRAL INDEX KEY: 0001269910 STATE OF INCORPORATION: CA FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34058 FILM NUMBER: 17836164 MAIL ADDRESS: STREET 1: 8700 BEVERLY BLVD CITY: LOS ANGELES STATE: CA ZIP: 90048-1865 4 1 v466675_4.xml OWNERSHIP DOCUMENT X0306 4 2017-05-09 0 0001133869 CAPRICOR THERAPEUTICS, INC. CAPR 0001269910 CEDARS SINAI MEDICAL CENTER 8700 BEVERLY BLVD BEVERLY HILLS CA 90048 0 0 1 0 Common Stock 2017-05-09 4 P 0 1145161 3.10 A 4049959 D The Reporting Person entered into a Subscription Agreement with Capricor Therapeutics, Inc. (the "Issuer") pursuant to which the Reporting Person, on May 5, 2017 purchased an aggregate of 1,145,161 shares of the Issuer's common stock at a purchase price of $3.10 per share for total cash proceeds of approximately US$3,550,000. /s/ James D. Laur, Vice President for Legal & Technology Affairs 2017-05-10