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