0001415889-23-011086.txt : 20230713
0001415889-23-011086.hdr.sgml : 20230713
20230713165330
ACCESSION NUMBER: 0001415889-23-011086
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230711
FILED AS OF DATE: 20230713
DATE AS OF CHANGE: 20230713
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Auwaerter Paul Gisbert
CENTRAL INDEX KEY: 0001982730
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34058
FILM NUMBER: 231087248
MAIL ADDRESS:
STREET 1: C/O CAPRICOR THERAPEUTICS, INC.
STREET 2: 10865 ROAD TO THE CURE, SUITE 150
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
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
form4-07132023_080727.xml
X0407
4
2023-07-11
0001133869
CAPRICOR THERAPEUTICS, INC.
CAPR
0001982730
Auwaerter Paul Gisbert
C/O CAPRICOR THERAPEUTICS, INC.
10865 ROAD TO THE CURE, SUITE 150
SAN DIEGO
CA
92121
true
false
false
false
0
Stock Option (Right to Buy)
4.47
2023-07-11
4
A
0
115000
0
A
2033-07-11
Common Stock
115000
115000
D
The shares vest 25% on the first anniversary of the first day of the month following the Grant Date, with the remainder to vest at the rate of 1/36 per month thereafter. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.
/s/ Linda Marban, Attorney-in-Fact
2023-07-13