Filing Details
- Accession Number:
- 0001415889-23-006365
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-04-07 17:00:16
- Reporting Period:
- 2023-03-28
- Accepted Time:
- 2023-04-07 17:00:16
- 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 |
|---|---|---|---|---|---|---|---|
| 1931345 | Xavier Avat | 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 | 2023-03-28 | 3,000 | $4.06 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-04-05 | 84,791 | $3.46 | 84,791 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-04-05 | 70,019 | $4.19 | 14,772 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | 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 | 2023-04-05 | 84,791 | $0.00 | 84,791 | $3.46 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2023-07-06 | No | 4 | M | Direct |
Footnotes
- 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 April 5, 2023 of $4.19.
- The shares vested 1/48th of the first day of each month, commencing June 1, 2022.
- The option expires 90 days following the termination of Mr. Avat's employment with the Company. Mr. Avat's employment terminated on April 7, 2023. While the box indicating that Mr. Avat is no longer subject to Section 16 has been checked, Mr. Avat remains subject to Section 16 through such date.
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