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