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