0001144204-13-065190.txt : 20131202 0001144204-13-065190.hdr.sgml : 20131202 20131202214748 ACCESSION NUMBER: 0001144204-13-065190 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131120 FILED AS OF DATE: 20131202 DATE AS OF CHANGE: 20131202 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: Hamer Andrew Warwick CENTRAL INDEX KEY: 0001593254 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34058 FILM NUMBER: 131253046 MAIL ADDRESS: STREET 1: C/O CAPRICOR THERAPEUTICS, INC. STREET 2: 8840 WILSHIRE BLVD. 2ND FLOOR CITY: BEVERLY HILLS STATE: CA ZIP: 90211 3 1 v362014_3.xml OWNERSHIP DOCUMENT X0206 3 2013-11-20 0 0001133869 CAPRICOR THERAPEUTICS, INC. NLTXD 0001593254 Hamer Andrew Warwick C/O CAPRICOR THERAPEUTICS, INC. 8840 WILSHIRE BLVD. 2ND FLOOR BEVERLY HILLS CA 90211 0 1 0 0 VP of Medical Affairs Stock Option (right to buy) 0.30 2013-11-15 2023-11-15 COMMON STOCK 94659 D Vesting schedule is as follows: This option grant vests over 4 years with the first 25% of the shares of common stock subject to the option vesting on December 1, 2014. Exhibit 24 - Power of Attorney /s/ Linda Marban, as Attorney-in-Fact 2013-11-30 EX-24 2 v362014_ex24.htm EXHIBIT 24

 

POWER OF ATTORNEY

 

Know all by these presents, that the undersigned hereby constitutes and appoints each of Linda Marbán and Karen Krasney or either of them acting singly and with full power of substitution, the undersigned’s true and lawful attorney-in-fact and agent to:

 

1.execute for and on behalf of the undersigned, in the undersigned’s capacity as an officer, director and/or holder of 10% or more of a registered class of securities of Capricor Therapeutics, Inc. (the “Company”), Forms 3, 4 and 5 (and any amendments thereto) in accordance with Section 16(a) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and the rules promulgated thereunder;
   
2.do and perform any and all acts for and on behalf of the undersigned that may be necessary or desirable to complete and execute any such Forms 3, 4 and 5, complete and execute any amendment or amendments thereto, and timely file such forms or amendments with the United States Securities and Exchange Commission (the “SEC”) and any securities exchange or similar authority, including without limitation the filing of a Form ID or any other documents necessary or appropriate to enable the undersigned to file the Forms 3, 4 and 5 electronically with the SEC; and
   
3.take any other action of any nature whatsoever in connection with the foregoing which, in the opinion of any such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by or for, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact’s discretion.

 

The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever required, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted.

 

The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request and on the behalf of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned’s responsibilities to comply with, or any liability for the failure to comply with, any provision of Section 16 of the Exchange Act.

 

 
 

 

This Power of Attorney shall remain in full force and effect with respect to the undersigned until the earliest to occur of (a) such date that the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned’s holdings of and transactions in securities issued by the Company, and (b) the revocation by the undersigned in a signed writing delivered to the Company and each of the foregoing attorneys-in-fact.

 

 

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IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 15th day of November, 2013.

 

 

/s/ Andrew Hamer  
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Andrew Hamer  
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