David B. Musket - Apr 23, 2024 Form 4 Insider Report for CAPRICOR THERAPEUTICS, INC. (CAPR)

Role
Director
Signature
/s/ Linda Marban, Attorney-in-Fact
Stock symbol
CAPR
Transactions as of
Apr 23, 2024
Transactions value $
$22,457
Form type
4
Date filed
4/24/2024, 01:30 PM
Previous filing
Jan 4, 2024
Next filing
Aug 9, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAPR Common Stock Options Exercise $22.5K +16.2K +51.23% $1.39 47.7K Apr 23, 2024 Direct
holding CAPR Common Stock 7.1K Apr 23, 2024 Held by Reporting Person's IRA

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 -856 -100% $0.00* 0 Apr 23, 2024 Common Stock 856 $1.39 Direct F1, F2
transaction CAPR Stock Option (Right to Buy) Options Exercise $0 -2.75K -100% $0.00* 0 Apr 23, 2024 Common Stock 2.75K $1.39 Direct F3, F4
transaction CAPR Stock Option (Right to Buy) Options Exercise $0 -1.05K -100% $0.00* 0 Apr 23, 2024 Common Stock 1.05K $1.39 Direct F5, F6
transaction CAPR Stock Option (Right to Buy) Options Exercise $0 -2.75K -100% $0.00* 0 Apr 23, 2024 Common Stock 2.75K $1.39 Direct F7, F8
transaction CAPR Stock Option (Right to Buy) Options Exercise $0 -3K -100% $0.00* 0 Apr 23, 2024 Common Stock 3K $1.39 Direct F9
transaction CAPR Stock Option (Right to Buy) Options Exercise $0 -5.75K -100% $0.00* 0 Apr 23, 2024 Common Stock 5.75K $1.39 Direct F9, F10
* 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 January 3, 2017 and was previously reported as covering 8,560 shares at an exercise price of $2.55 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 1/48th of the first day of each month, commencing February 1, 2017.
F3 This option was granted on January 3, 2017 and was previously reported as covering 27,500 shares at an exercise price of $2.55 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.
F4 The shares vested 1/12th of the first day of each month, commencing February 1, 2017 with the last 1/12th vesting on December 31, 2017.
F5 This option was granted on January 2, 2018 and was previously reported as covering 10,500 shares at an exercise price of $1.57 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.
F6 The shares vested 1/48th of the first day of each month, commencing February 1, 2018.
F7 This option was granted on January 2, 2018 and was previously reported as covering 27,500 shares at an exercise price of $1.57 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.
F8 The shares vested 1/12th of the first day of each month, commencing February 1, 2018 with the last 1/12th vesting on December 31, 2018.
F9 This option was granted on August 8, 2019 and was previously reported with an exercise price of $3.25 per share, but was adjusted to reflect a share reprice to $1.39 per share that occurred on February 12, 2020.
F10 The shares vested 1/48th of the first day of each month, commencing September 1, 2019.