Karen Krasney - 03 Nov 2022 Form 4 Insider Report for CAPRICOR THERAPEUTICS, INC. (CAPR)

Role: EVP, GENERAL COUNSEL
Signature: /s/ Linda Marban, Attorney-in-Fact
Issuer symbol: CAPR
Transactions as of: 03 Nov 2022
Net transactions value: +$26,315
Form type: 4
Filing time: 04 Nov 2022, 09:25:14 UTC
Previous filing: 04 Jan 2022
Next filing: 05 Jan 2023
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	$26,315	+18,932	+1698%	$1.39	20,047	03 Nov 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	-18,932	-100%	$0.000000^*	0	03 Nov 2022	Common Stock	18,932	$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 November 13, 2012 and was previously reported as covering 189,320 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 on the first day of each month commencing December 1, 2012.