Anthony Bergmann - Oct 23, 2023 Form 4 Insider Report for CAPRICOR THERAPEUTICS, INC. (CAPR)

Role
CHIEF FINANCIAL OFFICER
Signature
/s/ Linda Marban, Attorney-in-Fact
Stock symbol
CAPR
Transactions as of
Oct 23, 2023
Transactions value $
$3,027
Form type
4
Date filed
10/24/2023, 09:25 AM
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 $3.03K +2.18K +1072.91% $1.39 2.38K Oct 23, 2023 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 -2.18K -100% $0.00* 0 Oct 23, 2013 Common Stock 2.18K $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 October 23, 2013 and was previously reported as covering 21,785 shares at an exercise price of $0.30 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 The shares vested annually over a 4 year period commencing on November 1, 2014.