0001104659-20-087909.txt : 20200729
0001104659-20-087909.hdr.sgml : 20200729
20200729183933
ACCESSION NUMBER: 0001104659-20-087909
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200727
FILED AS OF DATE: 20200729
DATE AS OF CHANGE: 20200729
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Marban Linda
CENTRAL INDEX KEY: 0001593084
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34058
FILM NUMBER: 201058416
MAIL ADDRESS:
STREET 1: C/O CAPRICOR THERAPEUTICS, INC.
STREET 2: 8840 WILSHIRE BLVD., 2ND FLOOR
CITY: BEVERLY HILLS
STATE: CA
ZIP: 90211
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: CAPRICOR THERAPEUTICS, INC.
CENTRAL INDEX KEY: 0001133869
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 8840 WILSHIRE BLVD
STREET 2: 2ND FLOOR
CITY: BEVERLY HILLS
STATE: CA
ZIP: 90211
BUSINESS PHONE: (310) 358-3200
MAIL ADDRESS:
STREET 1: 8840 WILSHIRE BLVD
STREET 2: 2ND FLOOR
CITY: BEVERLY HILLS
STATE: CA
ZIP: 90211
FORMER COMPANY:
FORMER CONFORMED NAME: Nile Therapeutics, Inc.
DATE OF NAME CHANGE: 20070920
FORMER COMPANY:
FORMER CONFORMED NAME: SMI PRODUCTS INC
DATE OF NAME CHANGE: 20010206
4
1
tm2025987d1_4.xml
OWNERSHIP DOCUMENT
X0306
4
2020-07-27
0
0001133869
CAPRICOR THERAPEUTICS, INC.
CAPR
0001593084
Marban Linda
C/O CAPRICOR THERAPEUTICS, INC.
8840 WILSHIRE BLVD., 2ND FLOOR
BEVERLY HILLS
CA
90211
1
1
0
0
CHIEF EXECUTIVE OFFICER
Common Stock
2020-07-27
4
M
0
41497
3.70
A
62367
D
Common Stock
2020-07-27
4
F
0
15652
9.81
D
46715
D
Common Stock
309915
I
By spouse.
Stock Option (Right to Buy)
3.70
2020-07-27
4
M
0
41497
0
D
2020-09-01
Common Stock
41497
0
D
920 shares of the Issuer's common stock are held by the Reporting Person in joint tenancy with her spouse.
Represents a "net exercise" of outstanding stock options. These shares were withheld by the Issuer for payment of the exercise price, based on the closing market price of the Issuer's common stock on July 27, 2020 of $9.81. The options would otherwise expire on September 1, 2020, pursuant to their terms.
The Reporting Person disclaims beneficial ownership of these securities, in that she has no power to vote or to direct the voting of these securities, nor does she have the power to dispose of or to direct the disposition of these securities. This report shall not be deemed a disclaimer of any community interest of the Reporting Person in such securities.
This option was previously reported as covering 414,971 shares at an exercise price of $0.37 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019.
25% of the shares of common stock subject to this option vested immediately. 20% of the remaining shares of common stock subject to this option vested on each of September 1, 2011, September 1, 2012, September 1, 2013, January 1, 2014, and January 1, 2015.
/s/ Linda Marban
2020-07-29