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