0001415889-23-000595.txt : 20230105 0001415889-23-000595.hdr.sgml : 20230105 20230105200103 ACCESSION NUMBER: 0001415889-23-000595 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230103 FILED AS OF DATE: 20230105 DATE AS OF CHANGE: 20230105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Manzo Louis CENTRAL INDEX KEY: 0001593100 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34058 FILM NUMBER: 23513252 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 form4-01052023_080148.xml X0306 4 2023-01-03 0001133869 CAPRICOR THERAPEUTICS, INC. CAPR 0001593100 Manzo Louis C/O CAPRICOR THERAPEUTICS, INC. 10865 ROAD TO THE CURE, SUITE 150 SAN DIEGO CA 92121 true false false false Stock Option (Right to Buy) 3.85 2023-01-03 4 A 0 37770 0 A 2033-01-03 Common Stock 37770 37770 D Stock Option (Right to Buy) 3.85 2023-01-03 4 A 0 7120 0 A 2033-01-03 Common Stock 7120 7120 D Stock Option (Right to Buy) 3.85 2023-01-03 4 A 0 19000 0 A 2033-01-03 Common Stock 19000 19000 D The shares vest 1/12th of the first day of each month, commencing February 1, 2023, with the last month vesting on December 31, 2023, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. 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 Issuer if the reporting person's service to the Issuer terminates prior to vesting. The shares of the award are fully vested and exercisable as of January 3, 2023, the date of the grant. The award pertains to annual board committee service. The shares of the award are fully vested and exercisable as of January 3, 2023, the date of the grant. The award pertains to annual board service. /s/ Linda Marban, Attorney-in-Fact 2023-01-05