0001144204-18-000853.txt : 20180104
0001144204-18-000853.hdr.sgml : 20180104
20180104170033
ACCESSION NUMBER: 0001144204-18-000853
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180102
FILED AS OF DATE: 20180104
DATE AS OF CHANGE: 20180104
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Bergmann Anthony
CENTRAL INDEX KEY: 0001593087
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34058
FILM NUMBER: 18510849
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
tv482712_4.xml
OWNERSHIP DOCUMENT
X0306
4
2018-01-02
0
0001133869
CAPRICOR THERAPEUTICS, INC.
CAPR
0001593087
Bergmann Anthony
C/O CAPRICOR THERAPEUTICS, INC.
8840 WILSHIRE BLVD., 2ND FLOOR
BEVERLY HILLS
CA
90211
0
1
0
0
Chief Financial Officer
Stock Option (right to buy)
1.57
2018-01-02
4
A
0
50000
0
A
2028-01-02
Common Stock
50000
50000
D
1/48th of the shares subject to the stock option award shall vest on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. 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
2018-01-04