UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | 11/01/2007(2) | 11/01/2017 | COMMON STOCK | 20,748 | $ 0.16 | D | Â |
Stock Option (right to buy) | 09/25/2010(3) | 09/25/2020 | COMMON STOCK | 82,994 | $ 0.37 | D | Â |
Stock Option (right to buy) | 04/27/2012(4) | 04/27/2022 | COMMON STOCK | 154,555 | $ 0.37 | D | Â |
Stock Option (right to buy) | 04/27/2012(5) | 04/27/2022 | COMMON STOCK | 124,491 | $ 0.37 | D | Â |
Stock Option (right to buy) | 02/22/2013(6) | 02/22/2023 | COMMON STOCK | 14,015 | $ 0.37 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GRASMICK LOUIS J C/O CAPRICOR THERAPEUTICS, INC. 8840 WILSHIRE BLVD., 2ND FLOOR BEVERLY HILLS, CA 90211 |
 X |  |  |  |
/s/ Linda Marban, as Attorney-in-Fact | 12/04/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This amendment to the Initial Statement of Beneficial Ownership of Securities on Form 3, which was filed with the Securities and Exchange Commission on December 2, 2013, is being filed to correct the original Form 3 filing by revising the disclosure of the ownership of Nancelou, Inc. 897,512 shares of common stock 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 Capricor Therapeutics, Inc. beneficially owned by Nancelou, Inc. |
(2) | Vesting schedule is as follows: This option is deemed fully vested. |
(3) | Vesting schedule is as follows: This option is deemed fully vested. |
(4) | Vesting schedule is as follows: This option vests monthly over 48 months commencing May 1, 2012. |
(5) | Vesting schedule is as follows: This option is deemed fully vested. |
(6) | Vesting schedule is as follows: 25% of the shares of common stock subject to this option vested immediately, with the remainder vesting over 36 months commencing May 1, 2013. |
 Remarks: Exhibit 24 - Power of Attorney |