0001415889-23-008130.txt : 20230516 0001415889-23-008130.hdr.sgml : 20230516 20230516190011 ACCESSION NUMBER: 0001415889-23-008130 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230512 FILED AS OF DATE: 20230516 DATE AS OF CHANGE: 20230516 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Marban Linda CENTRAL INDEX KEY: 0001593084 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34058 FILM NUMBER: 23929234 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 form4-05162023_070501.xml X0407 4 2023-05-12 0001133869 CAPRICOR THERAPEUTICS, INC. CAPR 0001593084 Marban Linda C/O CAPRICOR THERAPEUTICS, INC. 10865 ROAD TO THE CURE, SUITE 150 SAN DIEGO CA 92121 true true false false CHIEF EXECUTIVE OFFICER 0 Common Stock 2023-05-12 4 M 0 20749 1.39 A 198604 D Stock Option (Right to Buy) 1.39 2023-05-12 4 M 0 41497 0 D 2023-05-14 Common Stock 0 0 D Half of the shares of Common Stock acquired upon exercise of this option were delivered to the Reporting Person's ex-spouse pursuant to a domestic relations order, which transaction is exempt from Section 16 pursuant to Rule 16a-12 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Person no longer reports as beneficially owned any securities owned by her ex-spouse. This figure reflects the acquisition of 132,060 shares of Common Stock from the Reporting Person's ex-spouse pursuant to a domestic relations order, which acquisition is exempt from Section 16 pursuant to Rule 16a-12 under the Exchange Act. The Reporting Person no longer reports as beneficially owned any securities owned by her ex-spouse. The stock option award is fully vested and exercisable. /s/ Linda Marban 2023-05-16