SEC Form 4 · accession 0001144204-16-089005

CAPRICOR THERAPEUTICS, INC. · CAPR

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Executive Officer · Director

Period of report

Mar 16, 2016

Accepted (ET)

Mar 18, 2016 · 9:32 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001133869

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F2	Mar 16, 2016	P	10,152	$2.40	A	273,709	D
Common Stock^F2,F3	holding	—	—		—	3,173,354	I	By spouse.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrants (Right to Buy)	$4.50	Mar 16, 2016	P	5,076	A	Sep 17, 2016	Mar 16, 2019	Common Stock	5,076	5,076	D

F1The 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) 10,152 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 5,076 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 $25,000.
F29,200 shares of the Issuer's common stock are held by the Reporting Person in joint tenancy with her spouse.
F3The Reporting Person disclaims beneficial ownership of these securities, other than over 9,200 shares held in joint tenancy with her spouse, in that she has no power to vote or to direct the voting of these securities, nor does she have the power to dispose of or to direct the disposition of these securities. This report shall not be deemed a disclaimer of any community interest of the Reporting Person in such securities.