Linda Marban - 12 May 2023 Form 4 Insider Report for CAPRICOR THERAPEUTICS, INC. (CAPR)

Role
CHIEF EXECUTIVE OFFICER, Director
Signature
/s/ Linda Marban
Issuer symbol
CAPR
Transactions as of
12 May 2023
Net transactions value
+$28,841
Form type
4
Filing time
16 May 2023, 19:00:11 UTC
Previous filing
05 Jan 2023
Next filing
04 Jan 2024
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 $28,841 +20,749 +12% $1.39 198,604 12 May 2023 Direct F1, F2

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 -41,497 -100% $0.000000* 0 12 May 2023 Common Stock 0 $1.39 Direct F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Half of the shares of Common Stock acquired upon exercise of this option were delivered to the Reporting Person's ex-spouse pursuant to a domestic relations order, which transaction is exempt from Section 16 pursuant to Rule 16a-12 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Person no longer reports as beneficially owned any securities owned by her ex-spouse.
F2 This figure reflects the acquisition of 132,060 shares of Common Stock from the Reporting Person's ex-spouse pursuant to a domestic relations order, which acquisition is exempt from Section 16 pursuant to Rule 16a-12 under the Exchange Act. The Reporting Person no longer reports as beneficially owned any securities owned by her ex-spouse.
F3 The stock option award is fully vested and exercisable.