0001144204-18-000861.txt : 20180104 0001144204-18-000861.hdr.sgml : 20180104 20180104170306 ACCESSION NUMBER: 0001144204-18-000861 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180102 FILED AS OF DATE: 20180104 DATE AS OF CHANGE: 20180104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kazam Joshua A CENTRAL INDEX KEY: 0001221355 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34058 FILM NUMBER: 18510881 MAIL ADDRESS: STREET 1: 689 5TH AVENUE STREET 2: 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: KAZAM JOSHUA A DATE OF NAME CHANGE: 20070920 FORMER NAME: FORMER CONFORMED NAME: KAZAM JOSHOA A DATE OF NAME CHANGE: 20030303 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 tv482718_4.xml OWNERSHIP DOCUMENT X0306 4 2018-01-02 0 0001133869 CAPRICOR THERAPEUTICS, INC. CAPR 0001221355 Kazam Joshua A C/O CAPRICOR THERAPEUTICS, INC. 8840 WILSHIRE BLVD., 2ND FLOOR BEVERLY HILLS CA 90211 1 0 0 0 Stock Option (right to buy) 1.57 2018-01-02 4 A 0 18000 0 A 2028-01-02 Common Stock 18000 18000 D 10,500 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. The remaining 7,500 shares will vest 1/12 on the first day of each month, commencing February 1, 2018, with the last month vesting on December 31, 2018. However, 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting. /s/ Linda Marban, as Attorney-in-Fact 2018-01-04