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

Role
CHIEF EXECUTIVE OFFICER, Director
Signature
/s/ Linda Marban
Stock symbol
CAPR
Transactions as of
May 12, 2023
Transactions value $
$28,841
Form type
4
Date filed
5/16/2023, 07:00 PM
Previous filing
Jan 5, 2023
Next filing
Jan 4, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAPR Common Stock Options Exercise $28.8K +20.7K +11.67% $1.39 199K May 12, 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 -41.5K -100% $0.00* 0 May 12, 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.