David B. Musket - Dec 27, 2021 Form 4 Insider Report for CAPRICOR THERAPEUTICS, INC. (CAPR)

Role
Director
Signature
/s/ Linda Marban, Attorney-in-Fact
Stock symbol
CAPR
Transactions as of
Dec 27, 2021
Transactions value $
$43,913
Form type
4
Date filed
12/29/2021, 08:00 AM
Next filing
Jan 4, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAPR Common Stock Options Exercise $21.5K +15.5K +67.52% $1.39 38.3K Dec 27, 2021 Direct
transaction CAPR Common Stock Options Exercise $22.4K +20.4K +53.18% $1.10 58.7K Dec 27, 2021 Direct
holding CAPR Common Stock 7.1K Dec 27, 2021 Held by Reporting Person's IRA

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
transaction CAPR Stock Option (Right to Buy) Options Exercise $0 -15.5K -100% $0.00* 0 Dec 27, 2021 Common Stock 15.5K $1.39 Direct F1, F2
transaction CAPR Warrants (Right to Buy) Options Exercise $0 -20.4K -100% $0.00* 0 Dec 27, 2021 Common Stock 20.4K $1.10 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This option was granted on April 27, 2012 and was previously reported as covering 154,555 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.
F2 The shares vested 1/48th of the first day of each month, commencing May 1, 2012.