0001415889-23-012326.txt : 20230816 0001415889-23-012326.hdr.sgml : 20230816 20230816170010 ACCESSION NUMBER: 0001415889-23-012326 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230814 FILED AS OF DATE: 20230816 DATE AS OF CHANGE: 20230816 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Litvack Frank CENTRAL INDEX KEY: 0001310715 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34058 FILM NUMBER: 231178877 MAIL ADDRESS: STREET 1: C/O CONOR MEDSYSTEMS, INC. STREET 2: 1003 HAMILTON COURT CITY: MENLO PARK STATE: CA ZIP: 94025 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 form4-08162023_050801.xml X0508 4 2023-08-14 0001133869 CAPRICOR THERAPEUTICS, INC. CAPR 0001310715 Litvack Frank C/O CAPRICOR THERAPEUTICS, INC. 10865 ROAD TO THE CURE, SUITE 150 SAN DIEGO CA 92121 true false false false 0 Common Stock 2023-08-14 4 M 0 20748 1.39 A 137633 D Common Stock 2023-08-14 4 F 0 4364 6.61 D 133269 D Stock Option (Right to Buy) 1.39 2023-08-14 4 M 0 20748 0 D 2023-08-21 Common Stock 20748 0 D This amount has been adjusted to correct an administrative error in the Form 4 filed by the reporting person on February 23, 2023, which inadvertently overstated the amount of common stock beneficially owned by 20,391 shares. Represents a "net exercise" of outstanding stock options. These shares were withheld by the Issuer for payment of the exercise price, based on the closing market price of the Issuer's common stock on August 14, 2023 of $6.61. The options would otherwise expire on August 21, 2023, pursuant to their terms. This option was granted on August 21, 2013 and was previously reported as covering 207,485 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 stock option award is fully vested and exercisable. /s/ Linda Marban, Attorney-in-Fact 2023-08-16