Filing Details

Accession Number:
0001144204-16-089004
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-03-18 21:31:50
Reporting Period:
2016-03-16
Filing Date:
2016-03-18
Accepted Time:
2016-03-18 21:31:50
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
1593087 Anthony Bergmann C/O Capricor Therapeutics, Inc.
8840 Wilshire Blvd., 2Nd Floor
Beverly Hills CA 90211
Vice President Of Finance No Yes No No
Reported Non-Derivative Transactions
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 2,030 $2.40 2,030 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrants (Right to Buy) Acquisiton 2016-03-16 1,015 $0.13 1,015 $4.50
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
1,015 2016-09-17 2019-03-16 No 4 P Direct
Footnotes
  1. The Reporting Person entered into a Subscription Agreement with Capricor Therapeutics, Inc. (the "Issuer") pursuant to which the Reporting Person, on March 16, 2016, purchased (i) 2,030 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 1,015 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 $5,000.