Current Report Filing (8-k)
October 04 2017 - 7:01AM
Edgar (US Regulatory)
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)
October 4, 2017
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CAPRICOR THERAPEUTICS, INC.
(Exact name of Registrant as Specified
in its Charter)
Delaware
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001-34058
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88-0363465
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(I.R.S. Employer
Identification No.)
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8840 Wilshire Blvd., 2nd Floor, Beverly
Hills, CA
(Address of principal executive offices)
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90211
(Zip Code)
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(310) 358-3200
(Registrant’s telephone number,
including area code)
Not Applicable
(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:
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¨
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Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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¨
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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¨
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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¨
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Pre-commencement
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.
¨
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Item
7.01
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Regulation
FD Disclosure.
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On October 4, 2017, Capricor Therapeutics, Inc., a Delaware
corporation (the “Company”), issued a press release announcing positive six-month results from the randomized Phase
I/II HOPE clinical trial in Duchenne muscular dystrophy. A copy of the press release is attached hereto as Exhibit 99.1 and is
incorporated by reference into this Item 7.01 of this Current Report on Form 8-K. Additionally, the Company made available on its
website a poster from its presentation at the
22
nd
International Congress of the World
Muscle Society.
The information contained in this Form 8-K (including Exhibit
99.1 and 99.2 attached hereto) is being furnished and shall not be deemed to be “filed” for the purposes of Section
18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities
of that section and shall not be incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange
Act, except as shall be expressly set forth by specific reference in such filing.
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Item 9.01.
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Financial
Statements and Exhibits.
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(d) Exhibits
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.
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CAPRICOR THERAPEUTICS, INC.
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Date: October 4, 2017
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By:
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/s/ Linda Marbán, Ph.D.
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Linda Marbán, Ph.D.
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Chief Executive Officer
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