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

Role: Director
Signature: /s/ Linda Marban, Attorney-in-Fact
Issuer symbol: CAPR
Transactions as of: 27 Dec 2021
Net transactions value: +$43,913
Form type: 4
Filing time: 29 Dec 2021, 08:00:15 UTC
Next filing: 04 Jan 2022
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	CAPR	Common Stock	Options Exercise	$21,482	+15,455	+68%	$1.39	38,346	27 Dec 2021	Direct
transaction	CAPR	Common Stock	Options Exercise	$22,430	+20,391	+53%	$1.10	58,737	27 Dec 2021	Direct
holding	CAPR	Common Stock						7,096	27 Dec 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	-15,455	-100%	$0.000000^*	0	27 Dec 2021	Common Stock	15,455	$1.39	Direct	F1, F2
transaction	CAPR	Warrants (Right to Buy)	Options Exercise	$0	-20,391	-100%	$0.000000^*	0	27 Dec 2021	Common Stock	20,391	$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.