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