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Filing Details

Accession Number:: 0001144204-16-089002
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-03-18 21:30:48
Reporting Period:: 2016-03-16

Filing Date:: 2016-03-18
Accepted Time:: 2016-03-18 21:30:48
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1133869	Capricor Therapeutics Inc.	CAPR	Pharmaceutical Preparations (2834)	000000000

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1261186	J Louis Grasmick	C/O Capricor Therapeutics, Inc. 8840 Wilshire Blvd., 2Nd Floor Beverly Hills CA 90211		Yes	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2016-03-16	71,065	$2.40	77,015	No	4	P	Direct
Common Stock	Acquisiton	2016-03-16	20,304	$2.40	1,059,740	No	4	P	Indirect	By Nancelou, Inc.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
No	4	P	Indirect	By Nancelou, Inc.

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrants (Right to Buy)	Acquisiton	2016-03-16	35,532	$0.13	35,532	$4.50
Common Stock	Warrants (Right to Buy)	Acquisiton	2016-03-16	10,152	$0.13	10,152	$4.50

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
35,532	2016-09-17	2019-03-16	No	4	P	Direct
10,152	2016-09-17	2019-03-16	No	4	P	Indirect

Footnotes

The Reporting Person and his spouse, tenants by the entirety, entered into a Subscription Agreement with Capricor Therapeutics, Inc. (the "Issuer") pursuant to which the Reporting Person and his spouse, tenants by the entirety, on March 16, 2016, purchased (i) 71,065 shares of the Issuer's common stock at a purchase price of $2.40 per share, and (ii) warrants to purchase up to an aggregate of 35,532 shares of the Issuer's common stock at a purchase price of $0.125 per share issuable upon exercise of the warrants, for an aggregate purchase price of approximately $175,000.
These securities of the Issuer are held by the Reporting Person with his spouse as tenants by the entirety.
Nancelou, Inc. entered into a Subscription Agreement with the Issuer pursuant to which Nancelou, Inc., on March 16, 2016, purchased (i) 20,304 shares of the Issuer's common stock at a purchase price of $2.40 per share, and (ii) warrants to purchase up to an aggregate of 10,152 shares of the Issuer's common stock at a purchase price of $0.125 per share issuable upon exercise of the warrants, for an aggregate purchase price of approximately $50,000.
These securities of the Issuer are beneficially owned by Nancelou, Inc. Louis Grasmick and Nancy Grasmick, husband and wife, own 50% of Nancelou, Inc. as tenants by the entirety, and Grant Grasmick, the son of Louis Grasmick and Nancy Grasmick, owns the remaining 50% of Nancelou, Inc. Therefore, Louis Grasmick, Nancy Grasmick and Grant Grasmick are deemed to have shared voting and dispositive power with respect to the securities of the Issuer beneficially owned by Nancelou, Inc.