Form 4 for CAPR CAPRICOR THERAPEUTICS, INC.
Accepted 2022-07-01 00:00:00 ET · period of report 2022-06-29 · accession 0001415889-22-007219 · 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 | 2022-07-01 | 2022-06-30 | CAPR | Musket David B | Dir | M - OptEx | $1.39 | +10.8K | 23.5K | +85% | +$15.0K |
| D | 2022-07-01 | 2022-06-29 | CAPR | Musket David B | Dir | S - Sale+OE | $3.77 | -28.2K | 12.7K | -69% | -$106.4K |
| DM | 2022-07-01 | 2022-06-30 | CAPR | Musket David B | Dir | M - OptEx | $0.00 | -10.8K | 0 | -100% | $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 | 2022-06-30 | M | A | 10,796 | $1.39 | 23,543 | D | — | — | |
| 2 | Common | Common Stock | 2022-06-29 | S | D | 28,215 | $3.77 | 12,747 | D | — | — | (F1) The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.76 to $3.80, inclusive. The reporting person undertakes to provide to Capricor Therapeutics, Inc., any security holder of Capricor Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
| 3 | Derivative | Stock Option (Right to Buy) | 2022-06-30 | M | D | 1,401 | $0.00 | 0 | D | $1.39 · — to 2023-02-22 | 1,401 Common Stock | (F2) This option was granted on February 22, 2013 and was previously reported as covering 14,015 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) 25% of the shares of common stock vested immediately, with the remainder vesting 1/36th of the first day of each month, commencing May 1, 2013. |
| 4 | Derivative | Stock Option (Right to Buy) | 2022-06-30 | M | D | 4,750 | $0.00 | 0 | D | $1.39 · 2015-03-03 to 2025-03-03 | 4,750 Common Stock | (F4) This option was granted on March 3, 2015 and was previously reported as covering 47,500 shares at an exercise price of $5.78 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. |
| 5 | Derivative | Stock Option (Right to Buy) | 2022-06-30 | M | D | 4,645 | $0.00 | 0 | D | $1.39 · — to 2026-06-02 | 4,645 Common Stock | (F5) This option was granted on June 2, 2016 and was previously reported as covering 46,458 shares at an exercise price of $3.12 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) 2,250 shares vested immediately on June 2, 2016. The remaining shares vested on December 31, 2016. |