0001104659-19-074516.txt : 20191219 0001104659-19-074516.hdr.sgml : 20191219 20191219193513 ACCESSION NUMBER: 0001104659-19-074516 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191217 FILED AS OF DATE: 20191219 DATE AS OF CHANGE: 20191219 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Litvack Frank CENTRAL INDEX KEY: 0001310715 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34058 FILM NUMBER: 191297416 MAIL ADDRESS: STREET 1: C/O CONOR MEDSYSTEMS, INC. STREET 2: 1003 HAMILTON COURT CITY: MENLO PARK STATE: CA ZIP: 94025 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 4 1 tm1926719d3_4.xml OWNERSHIP DOCUMENT X0306 4 2019-12-17 0 0001133869 CAPRICOR THERAPEUTICS, INC. CAPR 0001310715 Litvack Frank C/O CAPRICOR THERAPEUTICS, INC. 8840 WILSHIRE BLVD., 2ND FLOOR BEVERLY HILLS CA 90211 1 0 0 0 Common Stock 2019-12-17 4 A 0 20391 A 20391 D Warrants (Right to Buy) 1.10 2019-12-17 4 A 0 20391 A 2019-12-17 2024-12-17 Common Stock 20391 20391 D The Reporting Person on December 17, 2019, purchased 20,391 shares of the common stock of Capricor Therapeutics, Inc. (the "Issuer"), and accompanying amount of warrants to purchase up to an aggregate of 20,391 shares of the Issuer's common stock, at a combined purchase price of $1.226 per share of common stock and accompanying warrant, for a total cost of approximately US$25,000. /s/ Linda Marban, as Attorney-in-Fact 2019-12-19