0001415889-23-002650.txt : 20230215
0001415889-23-002650.hdr.sgml : 20230215
20230215200026
ACCESSION NUMBER: 0001415889-23-002650
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: DUNBAR GEORGE W JR
CENTRAL INDEX KEY: 0001194712
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34058
FILM NUMBER: 23636874
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
form4-02152023_080208.xml
X0306
4
2023-02-14
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
2023-02-14
4
M
0
1401
1.39
A
10556
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-for10 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