0001415889-22-011079.txt : 20221104 0001415889-22-011079.hdr.sgml : 20221104 20221104092514 ACCESSION NUMBER: 0001415889-22-011079 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221103 FILED AS OF DATE: 20221104 DATE AS OF CHANGE: 20221104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Krasney Karen CENTRAL INDEX KEY: 0001593086 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34058 FILM NUMBER: 221360559 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 form4-11042022_091102.xml X0306 4 2022-11-03 0001133869 CAPRICOR THERAPEUTICS, INC. CAPR 0001593086 Krasney Karen C/O CAPRICOR THERAPEUTICS, INC. 10865 ROAD TO THE CURE, SUITE 150 SAN DIEGO CA 92121 false true false false EVP, GENERAL COUNSEL Common Stock 2022-11-03 4 M 0 18932 1.39 A 20047 D Stock Option (Right to Buy) 1.39 2022-11-03 4 M 0 18932 0 D 2022-11-13 Common Stock 18932 0 D This option was granted on November 13, 2012 and was previously reported as covering 189,320 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. 25% of the shares vested immediately, with the remainder vesting 1/36th on the first day of each month commencing December 1, 2012. /s/ Linda Marban, Attorney-in-Fact 2022-11-04