Filing Details
- Accession Number:
- 0001415889-22-007219
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-07-01 21:00:16
- Reporting Period:
- 2022-06-29
- Accepted Time:
- 2022-07-01 21:00:16
- SEC Url:
- Form 4 Filing
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 |
|---|---|---|---|---|---|---|---|
| 1310611 | B David Musket | C/O Capricor Therapeutics, Inc. 10865 Road To The Cure, Suite 150 San Diego CA 92121 | No | No | 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 | Disposition | 2022-06-29 | 28,215 | $3.77 | 12,747 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2022-06-30 | 10,796 | $1.39 | 23,543 | No | 4 | M | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | M | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2022-06-30 | 1,401 | $0.00 | 1,401 | $1.39 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2022-06-30 | 4,750 | $0.00 | 4,750 | $1.39 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2022-06-30 | 4,645 | $0.00 | 4,645 | $1.39 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2023-02-22 | No | 4 | M | Direct | |
| 0 | 2015-03-03 | 2025-03-03 | No | 4 | M | Direct |
| 0 | 2026-06-02 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 7,096 | Indirect | Held by Reporting Person's IRA |
Footnotes
- The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.76 to $3.80, inclusive. The reporting person undertakes to provide to Capricor Therapeutics, Inc., any security holder of Capricor Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- 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.
- 25% of the shares of common stock vested immediately, with the remainder vesting 1/36th of the first day of each month, commencing May 1, 2013.
- This option was granted on March 3, 2015 and was previously reported as covering 47,500 shares at an exercise price of $5.78 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.
- This option was granted on June 2, 2016 and was previously reported as covering 46,458 shares at an exercise price of $3.12 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.
- 2,250 shares vested immediately on June 2, 2016. The remaining shares vested on December 31, 2016.
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