0001415889-24-000653.txt : 20240104
0001415889-24-000653.hdr.sgml : 20240104
20240104171529
ACCESSION NUMBER: 0001415889-24-000653
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240102
FILED AS OF DATE: 20240104
DATE AS OF CHANGE: 20240104
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DUNBAR GEORGE W JR
CENTRAL INDEX KEY: 0001194712
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34058
FILM NUMBER: 24513255
MAIL ADDRESS:
STREET 1: C/O COMPETITIVE TECHNOLOGIES, INC.
STREET 2: 777 COMMERCE DRIVE, SUITE 100
CITY: FAIRFIELD
STATE: CT
ZIP: 06825
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: CAPRICOR THERAPEUTICS, INC.
CENTRAL INDEX KEY: 0001133869
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
ORGANIZATION NAME: 03 Life Sciences
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
form4-01042024_050112.xml
X0508
4
2024-01-02
0001133869
CAPRICOR THERAPEUTICS, INC.
CAPR
0001194712
DUNBAR GEORGE W JR
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)
5.12
2024-01-02
4
A
0
29250
0
A
2034-01-02
Common Stock
29250
29250
D
Stock Option (Right to Buy)
5.12
2024-01-02
4
A
0
8920
0
A
2034-01-02
Common Stock
8920
8920
D
Stock Option (Right to Buy)
5.12
2024-01-02
4
A
0
14280
0
A
2034-01-02
Common Stock
14280
14280
D
The shares vest 1/12th of the first day of each month, commencing February 1, 2024, with the last month vesting on December 31, 2024, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. 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.
The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant. The award pertains to annual board committee service.
The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant. The award pertains to annual board service.
/s/ Linda Marban, Attorney-in-Fact
2024-01-04