Form D
View Original Filing
Notice of Exempt Offering of Securities
Item 1. Issuer's Identity
Name of Issuer:
CAPRICOR THERAPEUTICS, INC.
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
Over Five Years Ago
Previous Name(s)
- NILE THERAPEUTICS, INC.
- SMI PRODUCTS INC
Item 2 Issuer Principal Place of Business and Contact Information
8840 WILSHIRE BLVD., 2ND FLOOR
BEVERLY HILLS, CA 90211
Phone Number:
subscription required
Item 3. Related Persons
Name
LINDA MARBAN
Address
subscription required
Relationship(s)
- EXECUTIVE OFFICER
- DIRECTOR
Clarification of Response
PRESIDENT AND CHIEF EXECUTIVE OFFICER, DIRECTOR
Item 3. Related Persons
Name
KAREN KRASNEY
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
ANTHONY BERGMANN
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
ANDREW HAMER
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
RACHEL SMITH
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
FRANK LITVACK
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
GREGORY SCHAFER
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
EARL COLLIER, JR.
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
GEORGE DUNBAR
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
DAVID MUSKET
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
LOUIS GRASMICK
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
LOUIS MANZO
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JOSHUA KAZAM
Address
subscription required
Relationship(s)
Clarification of Response
Item 4. Industry Group
BIOTECHNOLOGY
Item 5. Issuer Size
Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
DECLINE TO DISCLOSE
Item 6. Federal Exemptions and Exclusions Claimed
Item 7. Type of Filing
New Notice
Date of First Sale in this Offering:
02/06/2015
Item 8. Duration of Offering
Does the issuer intend this offering to last more than one year?
No
Item 9. Type(s) of Securities Offered
Item 10. Business Combination Transaction
Is this offering being made in connection with a business combination
transaction, such as a merger, acquisition or exchange offer?
No
Clarification of Response
Item 11. Minimum Investment
Minimum Investment accepted from any outside investor
0
Item 12. Sales Compensation
Recipient
H.C. WAINWRIGHT CO., LLC
Recipient CRD Number
375
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
430 PARK AVENUE, 4TH FLOOR
NEW YORK, NY 10022
States of Solicitation
Item 12. Sales Compensation
Recipient
SCH CAPITAL
Recipient CRD Number
148291
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
910 RIDGEBROOK ROAD
SPARKS, MD 21152
States of Solicitation
Item 13. Offering and Sales Amounts
Total Offering Amount
7050001
Total Amount Sold
7050001
Total Remaining to be Sold
0
Clarification of Response
Item 14. Investors
Securities in the offering have been or may be sold to persons
who do not qualify as accredited investors,
Number of non-accredited investors who already have invested in the offering:
Total number of investors who already have invested in the offering:
8
Item 15. Sales Commissions and Finders' Fees Expenses
Sales Commissions:
364500.0
Finders' Fees
0.0
Clarification of Response
Item 16. Use of Proceeds
Provide the amount of the gross proceeds of the offering
that has been or is proposed to be used for payments to any of the persons required
to be named as executive officers,directors or promoters in response to Item 3 above.
0.0
Clarification of Response
Signature and Submission
Issuer Name
CAPRICOR THERAPEUTICS, INC.
Issuer Signature
LINDA MARBAN, PH.D.
Signer Name
LINDA MARBAN, PH.D.
Signer Title
CHIEF EXECUTIVE OFFICER
Signature Date
02/18/2015