Karen Krasney - Nov 3, 2022 Form 4 Insider Report for CAPRICOR THERAPEUTICS, INC. (CAPR)

Role
EVP, GENERAL COUNSEL
Signature
/s/ Linda Marban, Attorney-in-Fact
Stock symbol
CAPR
Transactions as of
Nov 3, 2022
Transactions value $
$26,315
Form type
4
Date filed
11/4/2022, 09:25 AM
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 $26.3K +18.9K +1697.94% $1.39 20K Nov 3, 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 -18.9K -100% $0.00* 0 Nov 3, 2022 Common Stock 18.9K $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.