Nippon Shinyaku Co Ltd - Apr 3, 2024 Form 3 Insider Report for CAPRICOR THERAPEUTICS, INC. (CAPR)

Role
10%+ Owner
Signature
/s/ Takanori Edamitsu, Director, Business Management & Sustainability
Stock symbol
CAPR
Transactions as of
Apr 3, 2024
Transactions value $
$0
Form type
3
Date filed
8/23/2024, 04:02 PM
Next filing
Sep 24, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding CAPR Common Stock, par value $0.001 per share 2.15M Apr 3, 2024 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding CAPR Warrant (right to buy) Apr 3, 2024 Common Stock 2.15M $5.70 Direct F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On September 29, 2023, the reporting person entered into a securities purchase agreement with Capricor Therapeutics, Inc., a Delaware corporation (the "Issuer"), pursuant to which the reporting person purchased (a) 2,145,922 shares of common stock, $0.001 par value per share (the "Common Stock"), of the Issuer's Common Stock and (b) warrants to purchase 2,145,922 shares of the Issuer's Common Stock (the "Warrants"). The combined offering price per share of Common Stock and the accompanying Warrant was $4.66. The Warrants will expire seven years from October 3, 2023 (the date of issuance).
F2 The Warrants are fully exercisable.