8-K
Capricor Therapeutics, Inc. (CAPR)
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)
March 13, 2020
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CAPRICOR THERAPEUTICS, INC.
(Exact name of Registrant as Specifiedin its Charter)
| Delaware | 001-34058 | 88-0363465 |
|---|---|---|
| (State or other jurisdiction<br><br>of incorporation) | (Commission<br><br>File Number) | (I.R.S. Employer<br><br>Identification No.) |
| 8840 Wilshire Blvd., 2nd Floor, Beverly Hills, CA<br><br> <br>(Address of principal executive offices) | 90211<br><br> <br>(Zip Code) |
|---|
(310) 358-3200
(Registrant’s telephone number,including area code)
Not Applicable
(Former name or former address, if changedsince 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<br>communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
|---|---|
| ¨ | Soliciting<br>material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| --- | --- |
| ¨ | Pre-commencement<br>communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| --- | --- |
| ¨ | Pre-commencement<br>communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).
Emerging growth company ¨
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨
Securities registered pursuant to Section 12(b) of the Act:
| Title of Each Class | Trading Symbol(s) | Name of Each Exchange on Which Registered |
|---|---|---|
| Common Stock, par value $0.001 per share | CAPR | The Nasdaq Capital Market |
| Item 8.01 Other Events. | ||
| --- |
On March 18, 2020, Capricor Therapeutics, Inc., a Delaware corporation (the “Company”), announced that it has filed provisional patent applications with the United States Patent and Trademark Office for an exosome-based vaccine platform technology, and specifically for potentially combatting the coronavirus disease 2019 (COVID-19) caused by the SARS coronavirus 2 (SARS-CoV-2).
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned, hereunto duly authorized.
| CAPRICOR THERAPEUTICS, INC. | ||
|---|---|---|
| Date: March 18, 2020 | By: | /s/ Linda Marbán, Ph.D. |
| Linda Marbán, Ph.D. | ||
| Chief Executive Officer |