0001415889-24-011416.txt : 20240424 0001415889-24-011416.hdr.sgml : 20240424 20240424133009 ACCESSION NUMBER: 0001415889-24-011416 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240423 FILED AS OF DATE: 20240424 DATE AS OF CHANGE: 20240424 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Musket David B CENTRAL INDEX KEY: 0001310611 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34058 FILM NUMBER: 24869458 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] 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 form4-04242024_010401.xml X0508 4 2024-04-23 0001133869 CAPRICOR THERAPEUTICS, INC. CAPR 0001310611 Musket David B C/O CAPRICOR THERAPEUTICS, INC. 10865 ROAD TO THE CURE, SUITE 150 SAN DIEGO CA 92121 true false false false 0 Common Stock 2024-04-23 4 M 0 16156 1.39 A 47692 D Common Stock 7096 I Held by Reporting Person's IRA Stock Option (Right to Buy) 1.39 2024-04-23 4 M 0 856 0 D 2027-01-03 Common Stock 856 0 D Stock Option (Right to Buy) 1.39 2024-04-23 4 M 0 2750 0 D 2027-01-03 Common Stock 2750 0 D Stock Option (Right to Buy) 1.39 2024-04-23 4 M 0 1050 0 D 2028-01-02 Common Stock 1050 0 D Stock Option (Right to Buy) 1.39 2024-04-23 4 M 0 2750 0 D 2028-01-02 Common Stock 2750 0 D Stock Option (Right to Buy) 1.39 2024-04-23 4 M 0 3000 0 D 2019-08-08 2029-08-08 Common Stock 3000 0 D Stock Option (Right to Buy) 1.39 2024-04-23 4 M 0 5750 0 D 2029-08-08 Common Stock 5750 0 D This option was granted on January 3, 2017 and was previously reported as covering 8,560 shares at an exercise price of $2.55 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 1/48th of the first day of each month, commencing February 1, 2017. This option was granted on January 3, 2017 and was previously reported as covering 27,500 shares at an exercise price of $2.55 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 1/12th of the first day of each month, commencing February 1, 2017 with the last 1/12th vesting on December 31, 2017. This option was granted on January 2, 2018 and was previously reported as covering 10,500 shares at an exercise price of $1.57 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 1/48th of the first day of each month, commencing February 1, 2018. This option was granted on January 2, 2018 and was previously reported as covering 27,500 shares at an exercise price of $1.57 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 1/12th of the first day of each month, commencing February 1, 2018 with the last 1/12th vesting on December 31, 2018. This option was granted on August 8, 2019 and was previously reported with an exercise price of $3.25 per share, but was adjusted to reflect a share reprice to $1.39 per share that occurred on February 12, 2020. The shares vested 1/48th of the first day of each month, commencing September 1, 2019. /s/ Linda Marban, Attorney-in-Fact 2024-04-24