0001415889-23-003084.txt : 20230223
0001415889-23-003084.hdr.sgml : 20230223
20230223090017
ACCESSION NUMBER: 0001415889-23-003084
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: Manzo Louis
CENTRAL INDEX KEY: 0001593100
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34058
FILM NUMBER: 23656361
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
form4-02232023_090208.xml
X0306
4
2023-02-21
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
Common Stock
2023-02-21
4
M
0
1401
1.39
A
62599
D
Common Stock
2023-02-21
4
D
0
452
4.31
D
62147
D
Stock Option (Right to Buy)
1.39
2023-02-21
4
M
0
1401
0
D
2023-04-22
Common Stock
1401
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 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 36 months commencing May 1, 2013.
/s/ Linda Marban, Attorney-in-Fact
2023-02-23