Attached files
| file | filename |
|---|---|
| EX-99.1 - EXHIBIT 99.1 - CAPRICOR THERAPEUTICS, INC. | v449149_ex99-1.htm |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported): September 21, 2016
CAPRICOR THERAPEUTICS, INC.
(Exact Name of Registrant as Specified in its Charter)
| Delaware | 001-34058 | 88-0363465 | ||
|
(State or Other Jurisdiction of Incorporation) |
(Commission File Number) |
(IRS Employer Identification No.) |
8840 Wilshire Blvd., 2nd Floor
Beverly Hills, CA 90211
(Address of Principal Executive Offices) (Zip Code)
(310) 358-3200
Registrant’s telephone number, including area code
N/A
(Former Name, or Former Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
| ¨ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ¨ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ¨ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Item 8.01. Other Events.
On September 21, 2016, Capricor Therapeutics, Inc. (the “Company”) issued a press release announcing the closing of its previously announced public offering (the “Underwritten Offering”) of shares of its common stock, including the full exercise of the underwriters’ option to purchase additional shares of the Company’s common stock, and the closing of its previously announced registered direct offering (the “Direct Offering” and together with the Underwritten Offering, the “Offerings”). In the Offerings, the Company sold an aggregate of 3,403,125 shares of its common stock at an offering price of $3.20 per share. A copy of the press release is attached as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated herein by reference.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits.
|
Number |
Description | |
| 99.1 | Press Release, dated September 21, 2016. |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| Date: September 21, 2016 | CAPRICOR THERAPEUTICS, INC. | |
| By: | /s/ Linda Marbán, Ph.D. | |
| Linda Marbán, Ph.D. | ||
| Chief Executive Officer | ||
Exhibit Index
| Exhibit Number | Description | |
| 99.1 | Press Release, dated September 21, 2016. |