# CAPRICOR THERAPEUTICS, INC.: Form D filings

CAPRICOR THERAPEUTICS, INC., a biotechnology company in Beverly Hills, CA, filed 8 Form D notices with the SEC between 2009 and 2017. The latest, on May 19, 2017, reports $3.7 million sold of a $3.7 million offering to 4 investors.

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- [Form D filings in California](https://specstream.ai/data/form-d/state/california): 5,891 rows, by operating companies, filed since November 1, 2024, $138.91, or the new rows each week for $19 a month. Buy: https://specstream.ai/data/form-d/state/california
- [Form D filings in Biotechnology](https://specstream.ai/data/form-d/industry/biotechnology): 1,568 rows, by operating companies, filed since November 1, 2024, $78.40, or the new rows each week for $19 a month. Buy: https://specstream.ai/data/form-d/industry/biotechnology

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## Company details from the filing

- Address: 8840 WILSHIRE BLVD 2ND FLOOR, Beverly Hills, CA, 90211
- Phone: (310) 358-3200
- Industry: Biotechnology
- Entity type: Corporation
- Incorporated in: Delaware
- Revenue range: Decline to Disclose
- Exemptions claimed: Rule 506(b)
- SEC identifier (CIK): 1133869

## Form D filings

| Filed | Type | Offering | Sold | Remaining | Investors | First sale | Filing |
| --- | --- | --- | --- | --- | --- | --- | --- |
| May 19, 2017 | New notice | $3,708,503 | $3,708,503 | $0 | 4 | May 9, 2017 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1133869/000114420417028496/0001144204-17-028496-index.htm) |
| Mar 29, 2016 | New notice | $13,974 | $13,974 | $0 | 24 | Mar 16, 2016 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1133869/000114420416090730/0001144204-16-090730-index.htm) |
| Feb 19, 2015 | New notice | $7,050,001 | $7,050,001 | $0 | 8 | Feb 6, 2015 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1133869/000114420415010765/0001144204-15-010765-index.htm) |
| Feb 3, 2015 | New notice | $10,002,028 | $10,002,028 | $0 | 39 | Jan 21, 2015 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1133869/000114420415005619/0001144204-15-005619-index.htm) |
| Feb 24, 2014 | New notice | $32,676 | $32,676 | $0 | 1 | Feb 10, 2014 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1133869/000114420414011098/0001144204-14-011098-index.htm) |
| Dec 5, 2013 | New notice | $26,289,973 | $26,289,973 | $0 | 34 | Nov 20, 2013 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1133869/000114420413065673/0001144204-13-065673-index.htm) |
| Jun 27, 2011 | New notice | $2,500,000 | $2,500,000 | $0 | 6 | Jun 20, 2011 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1133869/000118143111038293/0001181431-11-038293-index.htm) |
| Jul 15, 2009 | New notice | $2,975,000 | $2,343,750 | $631,250 | 24 | Jul 7, 2009 | [sec.gov](https://www.sec.gov/Archives/edgar/data/1133869/000118143109035412/0001181431-09-035412-index.htm) |

## Executive officers and directors named in the filing

| Name | Role | Note in the filing |
| --- | --- | --- |
| Frank Litvack | Director |  |
| Deborah Ascheim | Executive Officer |  |
| Leland Gershell | Executive Officer |  |
| Earl Collier | Director |  |
| Joshua Kazam | Director |  |
| Louis Manzo | Director |  |
| Rachel Smith | Executive Officer |  |
| Karen Krasney | Executive Officer |  |
| Linda Marban | Executive Officer, Director |  |
| David Musket | Director |  |
| George Dunbar | Director |  |
| Anthony Bergmann | Executive Officer |  |

## Other biotechnology companies in California that filed recently

- [CARI Health, Inc.](https://specstream.ai/data/form-d/company/cari-health-inc-1930994) $280,000 · Nov 6, 2026
- [Ausel, Inc.](https://specstream.ai/data/form-d/company/ausel-inc-2124022) $120,000 · Nov 4, 2026
- [Trellis Bioscience, Inc.](https://specstream.ai/data/form-d/company/trellis-bioscience-inc-1162015) $9.1 million · Oct 29, 2026
- [BigHat Biosciences, Inc.](https://specstream.ai/data/form-d/company/bighat-biosciences-inc-1797256) $75.1 million · Oct 26, 2026
- [Theravie Pharma, Inc.](https://specstream.ai/data/form-d/company/theravie-pharma-inc-2160768) $750,000 · Oct 19, 2026
- [Adela, Inc.](https://specstream.ai/data/form-d/company/adela-inc-1852167) $12 million · Oct 19, 2026
- [Estuary Biotherapeutics, Inc.](https://specstream.ai/data/form-d/company/estuary-biotherapeutics-inc-2138862) $40.7 million · Oct 16, 2026
- [Renue Life Sciences, Inc.](https://specstream.ai/data/form-d/company/renue-life-sciences-inc-2158207) $250,000 · Oct 14, 2026
- [Tempest Therapeutics, Inc.](https://specstream.ai/data/form-d/company/tempest-therapeutics-inc-1544227) $7.5 million · Oct 14, 2026
- [Lionheart Health, Inc.](https://specstream.ai/data/form-d/company/lionheart-health-inc-2156758) $387,500 · Oct 7, 2026
- [Rakuten Medical, Inc.](https://specstream.ai/data/form-d/company/rakuten-medical-inc-1595215) $9 million · Oct 6, 2026
- [Zonaliz, Inc.](https://specstream.ai/data/form-d/company/zonaliz-inc-2157556) $2.5 million · Oct 5, 2026
- [Altay Therapeutics, Inc.](https://specstream.ai/data/form-d/company/altay-therapeutics-inc-2157551) $15.7 million · Oct 2, 2026
- [Sialia Therapeutics, Inc.](https://specstream.ai/data/form-d/company/sialia-therapeutics-inc-2156754) $1.5 million · Sep 29, 2026
- [Vetmab Biosciences, Inc.](https://specstream.ai/data/form-d/company/vetmab-biosciences-inc-1932050) $11.4 million · Sep 29, 2026

[Every Form D from the week of May 15, 2017](https://specstream.ai/data/form-d/week/2017-05-15) · [All recent filings in California](https://specstream.ai/data/form-d/state/california) · [All recent Biotechnology filings](https://specstream.ai/data/form-d/industry/biotechnology)

Read from SEC EDGAR. Amount sold is what CAPRICOR THERAPEUTICS, INC. reported on the day it filed; on an offering that is still open, a later amendment can raise it. Free to reuse with credit to SpecStream under [CC BY 4.0](https://creativecommons.org/licenses/by/4.0/).