Form 4 for CAPR CAPRICOR THERAPEUTICS, INC.

Accepted 2022-03-31 00:00:00 ET · period of report 2022-03-29 · accession 0001415889-22-003514 · 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	2022-03-31	2022-03-29	CAPR	DUNBAR GEORGE W JR	Dir	M - OptEx	$1.39	+15.5K	15.5K	New	+$21.5K
D	2022-03-31	2022-03-29	CAPR	DUNBAR GEORGE W JR	Dir	F - Tax	$3.41	-6,300	9,155	-41%	-$21.5K
D	2022-03-31	2022-03-29	CAPR	DUNBAR GEORGE W JR	Dir	M - OptEx	$0.00	-15.5K	0	-100%	$0

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2022-03-29	M	A	15,455	$1.39	15,455	D	—	—
2	Common	Common Stock	2022-03-29	F	D	6,300	$3.41	9,155	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 March 29, 2022 of $3.41. The options would otherwise expire on April 27, 2022, pursuant to their terms.
3	Derivative	Stock Option (Right to Buy)	2022-03-29	M	D	15,455	$0.00	0	D	$1.39 · — to 2022-04-27	15,455 Common Stock	(F2) This option was granted on April 27, 2012 and was previously reported as covering 154,555 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. (F3) The shares vested 1/48th of the first day of each month, commencing May 1, 2012.