0001415889-23-014485.txt : 20231024
0001415889-23-014485.hdr.sgml : 20231024
20231024092506
ACCESSION NUMBER: 0001415889-23-014485
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231023
FILED AS OF DATE: 20231024
DATE AS OF CHANGE: 20231024
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Bergmann Anthony
CENTRAL INDEX KEY: 0001593087
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34058
FILM NUMBER: 231341381
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
form4-10242023_091001.xml
X0508
4
2023-10-23
0001133869
CAPRICOR THERAPEUTICS, INC.
CAPR
0001593087
Bergmann Anthony
C/O CAPRICOR THERAPEUTICS, INC.
10865 ROAD TO THE CURE, SUITE 150
SAN DIEGO
CA
92121
false
true
false
false
CHIEF FINANCIAL OFFICER
0
Common Stock
2023-10-23
4
M
0
2178
1.39
A
2381
D
Stock Option (Right to Buy)
1.39
2013-10-23
4
M
0
2178
0
D
2023-10-23
Common Stock
2178
0
D
This option was granted on October 23, 2013 and was previously reported as covering 21,785 shares at an exercise price of $0.30 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.
The shares vested annually over a 4 year period commencing on November 1, 2014.
/s/ Linda Marban, Attorney-in-Fact
2023-10-24