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