0001144204-16-107178.txt : 20160606
0001144204-16-107178.hdr.sgml : 20160606
20160606214545
ACCESSION NUMBER: 0001144204-16-107178
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160602
FILED AS OF DATE: 20160606
DATE AS OF CHANGE: 20160606
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DUNBAR GEORGE W JR
CENTRAL INDEX KEY: 0001194712
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34058
FILM NUMBER: 161699882
MAIL ADDRESS:
STREET 1: C/O COMPETITIVE TECHNOLOGIES, INC.
STREET 2: 777 COMMERCE DRIVE, SUITE 100
CITY: FAIRFIELD
STATE: CT
ZIP: 06825
4
1
v441888_4.xml
OWNERSHIP DOCUMENT
X0306
4
2016-06-02
0
0001133869
CAPRICOR THERAPEUTICS, INC.
CAPR
0001194712
DUNBAR GEORGE W JR
C/O CAPRICOR THERAPEUTICS, INC.
8840 WILSHIRE BLVD., 2ND FLOOR
BEVERLY HILLS
CA
90211
1
0
0
0
Stock Option (right to buy)
3.12
2016-06-02
4
A
0
30000
0
A
2026-06-02
Common Stock
30000
30000
D
15,000 shares of the award are fully vested and exercisable as of June 2, 2016, the date of the grant. The remaining 15,000 shares will vest on December 31, 2016. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.
/s/ Linda Marban, as Attorney-in-Fact
2016-06-06