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 5, 2015

________________________________

 

CAPRICOR THERAPEUTICS, INC.

(Exact name of Registrant as Specified in its Charter)

 

Delaware   001-34058   88-0363465
(State or other jurisdiction
of incorporation)		   (Commission
File Number)		   (I.R.S. Employer
Identification No.)

 

8840 Wilshire Blvd., 2nd Floor, Beverly Hills, CA

(Address of principal executive offices)

  

90211

(Zip Code)

 

(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:

 

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 
 

 

Item 8.01. Other Events.

 

On March 5, 2015, Capricor Therapeutics, Inc. issued a press release announcing its receipt of approval from The Nasdaq Stock Market LLC to have its common stock, par value $0.001 per share (the “Common Stock”), listed on the NASDAQ Capital Market. The Common Stock is expected to begin trading on the NASDAQ Capital Market on Monday, March 9, 2015, under the symbol “CAPR.” The Common Stock will continue to trade on the OTCQB under the symbol “CAPR” until the market closes on Friday, March 6, 2015. A copy of the press release is attached as Exhibit 99.1 hereto.

 

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits.
   
  Exhibit Number   Description
       
  99.1   Press Release issued by Capricor Therapeutics, Inc. on March 5, 2015, announcing the approval to list its Common Stock on the NASDAQ Capital Market.

 

 

 
 

 

SIGNATURES 

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, hereunto duly authorized.

 

  CAPRICOR THERAPEUTICS, INC.  
       
Date:  March 5, 2015 By: /s/ Linda Marbán, Ph.D.  
    Linda Marbán, Ph.D.  
    Chief Executive Officer  

 

 
 

 

Exhibit Index

 

Exhibit Number   Description
     
99.1   Press Release issued by Capricor Therapeutics, Inc. on March 5, 2015, announcing the approval to list its Common Stock on the NASDAQ Capital Market.