Home > Insider Trading > Filing (0001144204-16-089005)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1133869	Capricor Therapeutics Inc.	CAPR	Pharmaceutical Preparations (2834)	000000000

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1593084	Linda Marban	C/O Capricor Therapeutics, Inc. 8840 Wilshire Blvd., 2Nd Floor Beverly Hills CA 90211	Chief Executive Officer	Yes	Yes	No	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2016-03-16	10,152	$2.40	273,709	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrants (Right to Buy)	Acquisiton	2016-03-16	5,076	$0.13	5,076	$4.50

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
5,076	2016-09-17	2019-03-16	No	4	P	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	3,173,354	Indirect	By spouse.

Footnotes

The Reporting Person entered into a Subscription Agreement with Capricor Therapeutics, Inc. (the "Issuer") pursuant to which the Reporting Person, on March 16, 2016, purchased (i) 10,152 shares of the Issuer's common stock at a purchase price of $2.40 per share, and (ii) warrants to purchase up to an aggregate of 5,076 shares of the Issuer's common stock at a purchase price of $0.125 per share issuable upon exercise of the warrants, for an aggregate purchase price of approximately $25,000.
9,200 shares of the Issuer's common stock are held by the Reporting Person in joint tenancy with her spouse.
The Reporting Person disclaims beneficial ownership of these securities, other than over 9,200 shares held in joint tenancy with her spouse, in that she has no power to vote or to direct the voting of these securities, nor does she have the power to dispose of or to direct the disposition of these securities. This report shall not be deemed a disclaimer of any community interest of the Reporting Person in such securities.