Form 4 for CAPR CAPRICOR THERAPEUTICS, INC.
Accepted 2022-01-04 00:00:00 ET · period of report 2022-01-03 · accession 0001415889-22-000284 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2022-01-04 | 2022-01-03 | CAPR | Litvack Frank | Dir | M - OptEx | $1.39 | +154.5K | 174.9K | +758% | +$214.8K |
| D | 2022-01-04 | 2022-01-03 | CAPR | Litvack Frank | Dir | F - Tax | $3.18 | -67.6K | 107.4K | -39% | -$214.8K |
| D | 2022-01-04 | 2022-01-03 | CAPR | Litvack Frank | Dir | M - OptEx | $0.00 | -154.5K | 0 | -100% | $0 |
| D | 2022-01-04 | 2022-01-03 | CAPR | Litvack Frank | Dir | A - Grant | $0.00 | +252.2K | 252.2K | New | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-01-03 | M | A | 154,543 | $1.39 | 174,934 | D | — | — | |
| 2 | Common | Common Stock | 2022-01-03 | F | D | 67,552 | $3.18 | 107,382 | D | — | — | (F1) Represents a "net exercise" of outstanding stock options. These shares were withheld by the Issuer for payment of the exercise price, based on the closing market price of the Issuer's common stock on January 3, 2022 of $3.18. The options would otherwise expire on April 27, 2022, pursuant to their terms. |
| 3 | Derivative | Stock Option (Right to Buy) | 2022-01-03 | M | D | 154,543 | $0.00 | 0 | D | $1.39 · — to 2022-04-27 | 154,543 Common Stock | (F2) This option was granted on April 27, 2012 and was previously reported as covering 1,545,435 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. |
| 4 | Derivative | Stock Option (Right to Buy) | 2022-01-03 | A | A | 252,250 | $0.00 | 252,250 | D | $3.18 · — to 2032-01-03 | 252,250 Common Stock | (F3) The shares vest 1/48th of the first day of each month, commencing February 1, 2022, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting. |