Earl M. Collier Jr - Mar 8, 2022 Form 4 Insider Report for CAPRICOR THERAPEUTICS, INC. (CAPR)

Role
Director
Signature
/s/ Linda Marban, Attorney-in-Fact
Stock symbol
CAPR
Transactions as of
Mar 8, 2022
Transactions value $
$21,482
Form type
4
Date filed
3/9/2022, 06:00 PM
Previous filing
Jan 4, 2022
Next filing
Jan 5, 2023

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 $1.39 15.5K Mar 8, 2022 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
transaction CAPR Stock Option (Right to Buy) Options Exercise $0 -15.5K -100% $0.00* 0 Mar 8, 2022 Common Stock 15.5K $1.39 Direct F1, F2
* 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 25% of the shares vested immediately, with the remainder vesting 1/36th of the first day of each month commencing June 1, 2012.