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