0001415889-22-003514.txt : 20220331
0001415889-22-003514.hdr.sgml : 20220331
20220331170020
ACCESSION NUMBER: 0001415889-22-003514
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220329
FILED AS OF DATE: 20220331
DATE AS OF CHANGE: 20220331
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: 22793808
MAIL ADDRESS:
STREET 1: C/O COMPETITIVE TECHNOLOGIES, INC.
STREET 2: 777 COMMERCE DRIVE, SUITE 100
CITY: FAIRFIELD
STATE: CT
ZIP: 06825
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
form4-03312022_050302.xml
X0306
4
2022-03-29
0001133869
CAPRICOR THERAPEUTICS, INC.
CAPR
0001194712
DUNBAR GEORGE W JR
C/O CAPRICOR THERAPEUTICS, INC.
10865 ROAD TO THE CURE, SUITE 150
SAN DIEGO
CA
92121
true
false
false
false
Common Stock
2022-03-29
4
M
0
15455
1.39
A
15455
D
Common Stock
2022-03-29
4
F
0
6300
3.41
D
9155
D
Stock Option (Right to Buy)
1.39
2022-03-29
4
M
0
15455
0
D
2022-04-27
Common Stock
15455
0
D
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 March 29, 2022 of $3.41. The options would otherwise expire on April 27, 2022, pursuant to their terms.
This option was granted on April 27, 2012 and was previously reported as covering 154,555 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 and a share reprice to $1.39 per share that occurred on February 12, 2020.
The shares vested 1/48th of the first day of each month, commencing May 1, 2012.
/s/ Linda Marban, Attorney-in-Fact
2022-03-31