0001415889-23-002649.txt : 20230215 0001415889-23-002649.hdr.sgml : 20230215 20230215200017 ACCESSION NUMBER: 0001415889-23-002649 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230214 FILED AS OF DATE: 20230215 DATE AS OF CHANGE: 20230215 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: COLLIER EARL M JR CENTRAL INDEX KEY: 0001201254 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34058 FILM NUMBER: 23636872 MAIL ADDRESS: STREET 1: C/O TESARO, INC. STREET 2: 1000 WINTER STREET, SUITE 3300 CITY: WALTHAM STATE: MA ZIP: 02451 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 form4-02152023_080201.xml X0306 4 2023-02-14 0001133869 CAPRICOR THERAPEUTICS, INC. CAPR 0001201254 COLLIER EARL M JR C/O CAPRICOR THERAPEUTICS, INC. 10865 ROAD TO THE CURE, SUITE 150 SAN DIEGO CA 92121 true false false false Common Stock 2023-02-14 4 M 0 1401 1.39 A 16856 D Stock Option (Right to Buy) 1.39 2023-02-14 4 M 0 1401 0 D 2023-02-22 Common Stock 1401 0 D This option was granted on February 22, 2013 and was previously reported as covering 14,015 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 monthly over 25 months commencing May 1, 2013. /s/ Linda Marban, Attorney-in-Fact 2023-02-15