0001144204-17-000703.txt : 20170104
0001144204-17-000703.hdr.sgml : 20170104
20170104214338
ACCESSION NUMBER: 0001144204-17-000703
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170103
FILED AS OF DATE: 20170104
DATE AS OF CHANGE: 20170104
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: 17508579
MAIL ADDRESS:
STREET 1: C/O COMPETITIVE TECHNOLOGIES, INC.
STREET 2: 777 COMMERCE DRIVE, SUITE 100
CITY: FAIRFIELD
STATE: CT
ZIP: 06825
4
1
v456178_4.xml
FORM 4
X0306
4
2017-01-03
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)
2.55
2017-01-03
4
A
0
26060
0
A
2017-01-03
2027-01-03
Common Stock
26060
26060
D
8,560 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2017, until the stock option becomes fully vested and exercisable. The remaining 17,500 shares will vest 1/12 on the first day of each month, commencing February 1, 2017, with the last month vesting on December 31, 2017. 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
2017-01-04