CAPRICOR THERAPEUTICS, INC. Form D Notices of Exempt Offering of Securities
Notices filed with the SEC for securities sold without registration under Regulation D or Section 4(a)(5), newest first. Values are as filed.
- 2017-05-19: Federal exemption Rule 506(b); Types of securities offered Equity; Date of first sale 2017-05-09; Total offering amount $3,708,503.
- 2015-02-19: Federal exemption Rule 506(b); Types of securities offered Equity; Date of first sale 2015-02-06; Total offering amount $7,050,001.
- 2015-02-03: Federal exemption Rule 506(b); Types of securities offered Equity; Date of first sale 2015-01-21; Total offering amount $10,002,028.
- 2013-12-05: Federal exemption Rule 506(b); Types of securities offered Equity; Date of first sale 2013-11-20; Total offering amount $26,289,973.
| Filed | Federal exemption | Types of securities offered | Date of first sale | Total offering amount | Total amount sold | Total remaining to be sold | Investors who have already invested |
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| 2017-05-19 | Rule 506(b) | Equity | 2017-05-09 | $3,708,503 | $3,708,503 | $0 | 4 |
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| 2015-02-19 | Rule 506(b) | Equity | 2015-02-06 | $7,050,001 | $7,050,001 | $0 | 8 |
|---|
| 2015-02-03 | Rule 506(b) | Equity | 2015-01-21 | $10,002,028 | $10,002,028 | $0 | 39 |
|---|
| 2013-12-05 | Rule 506(b) | Equity | 2013-11-20 | $26,289,973 | $26,289,973 | $0 | 34 |
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