# EDGAR Filing Document

**Accession Number:** 0001593100
**File Stem:** 0001415889-23-003084
**Filing Date:** 2023-2
**Character Count:** 6734
**Document Hash:** 8f7e86646cc6f5b004f076084efa3f01
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001415889-23-003084.hdr.sgml**: 20230223

**ACCESSION NUMBER**: 0001415889-23-003084

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230221

**FILED AS OF DATE**: 20230223

**DATE AS OF CHANGE**: 20230223

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Manzo Louis
- **CENTRAL INDEX KEY:** 0001593100

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-34058
- **FILM NUMBER:** 23656361

**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

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Manzo Louis<br><sub>(Last) (First) (Middle)</sub><br>C/O CAPRICOR THERAPEUTICS, INC.<br>10865 ROAD TO THE CURE, SUITE 150<br><sub>(Street)</sub><br>SAN DIEGO, CA 92121<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-21 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>CAPRICOR THERAPEUTICS, INC. [ CAPR ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-02-21 |  | M |  | 1401 | A | $1.39 | 62599 | D |  |
| Common Stock | 2023-02-21<sup>(1)</sup> |  | D |  | 452 | D | 4.31<sup>(1)</sup> | 62147 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Stock Option (Right to Buy) | 1.39<sup>(2)</sup> | 2023-02-21 |  | M |  |  | 1401 | <sup>(3)</sup> | 2023-04-22 | Common Stock | 1401<sup>(2)</sup> | $0 | 0 | D |  |

---

### Footnotes:

(1) 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 February 21, 2023 of $4.31. The options would otherwise expire on February 22, 2023, pursuant to their terms.

(2) This option was granted on February 22, 2013 and was previously reported as covering 14,015 shares at an exercise price of $0.37 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.

(3) 25% of the shares vested immediately, with the remainder vesting monthly over 36 months commencing May 1, 2013.

**Signature:** /s/ Linda Marban, Attorney-in-Fact  
**Date:** 2023-02-23

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**