0001144204-17-026396.txt : 20170511 0001144204-17-026396.hdr.sgml : 20170511 20170511143140 ACCESSION NUMBER: 0001144204-17-026396 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: Manzo Louis CENTRAL INDEX KEY: 0001593100 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34058 FILM NUMBER: 17833759 MAIL ADDRESS: STREET 1: C/O CAPRICOR THERAPEUTICS, INC. STREET 2: 8840 WILSHIRE BLVD., 2ND FLOOR CITY: BEVERLY HILLS STATE: CA ZIP: 90211 4 1 v466673_4.xml OWNERSHIP DOCUMENT X0306 4 2017-05-09 0 0001133869 CAPRICOR THERAPEUTICS, INC. CAPR 0001593100 Manzo Louis C/O CAPRICOR THERAPEUTICS, INC. 8840 WILSHIRE BLVD., 2ND FLOOR BEVERLY HILLS CA 90211 1 0 0 0 Common Stock 2017-05-09 4 P 0 10000 3.10 A 138384 D Common Stock 638155 I By Coniston Corporation 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 10,000 shares of the Issuer's common stock at a purchase price of $3.10 per share for total cash proceeds of approximately US$31,000. 638,155 shares of common stock of the Issuer are beneficially owned by Coniston Corporation. The equity securities of Coniston Corporation are held by the Reporting Person and irrevocable trusts for the benefit of the children of the Reporting Person of which the Reporting Person is not the trustee. The Reporting Person has sole voting power over Coniston Corporation and therefore may be deemed to have sole voting and dispositive power with respect to all securities of the Issuer beneficially owned by Coniston Corporation.. /s/ Linda Marban, as Attorney-in-Fact 2017-05-10