0001415889-23-003083.txt : 20230223
0001415889-23-003083.hdr.sgml : 20230223
20230223090012
ACCESSION NUMBER: 0001415889-23-003083
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230221
FILED AS OF DATE: 20230223
DATE AS OF CHANGE: 20230223
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Litvack Frank
CENTRAL INDEX KEY: 0001310715
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34058
FILM NUMBER: 23656358
MAIL ADDRESS:
STREET 1: C/O CONOR MEDSYSTEMS, INC.
STREET 2: 1003 HAMILTON COURT
CITY: MENLO PARK
STATE: CA
ZIP: 94025
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
form4-02232023_090201.xml
X0306
4
2023-02-21
0001133869
CAPRICOR THERAPEUTICS, INC.
CAPR
0001310715
Litvack Frank
C/O CAPRICOR THERAPEUTICS, INC.
10865 ROAD TO THE CURE, SUITE 150
SAN DIEGO
CA
92121
true
false
false
false
Common Stock
2023-02-21
4
M
0
14027
1.39
A
141800
D
Common Stock
2023-02-21
4
F
0
4524
4.31
D
137276
D
Stock Option (Right to Buy)
1.39
2023-02-21
4
M
0
14027
0
D
2023-02-22
Common Stock
14027
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 February 21, 2023 of $4.31. The options would otherwise expire on February 22, 2023, pursuant to their terms.
This option was granted on February 22, 2013 and was previously reported as covering 140,270 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
2023-02-23