Form 4 for CAPR CAPRICOR THERAPEUTICS, INC.
Accepted 2023-04-07 00:00:00 ET · period of report 2023-03-28 · accession 0001415889-23-006365 · 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 | 2023-04-07 | 2023-03-28 | CAPR | Avat Xavier | FORMER Chief BUSINESS Off | S - Sale+OE | $4.06 | -3,000 | 0 | -100% | -$12.2K |
| D | 2023-04-07 | 2023-04-05 | CAPR | Avat Xavier | FORMER Chief BUSINESS Off | M - OptEx | $3.46 | +84.8K | 84.8K | New | +$293.4K |
| D | 2023-04-07 | 2023-04-05 | CAPR | Avat Xavier | FORMER Chief BUSINESS Off | F - Tax | $4.19 | -70.0K | 14.8K | -83% | -$293.4K |
| D | 2023-04-07 | 2023-04-05 | CAPR | Avat Xavier | FORMER Chief BUSINESS Off | M - OptEx | $0.00 | -84.8K | 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 | 2023-03-28 | S | D | 3,000 | $4.06 | 0 | D | — | — | |
| 2 | Common | Common Stock | 2023-04-05 | M | A | 84,791 | $3.46 | 84,791 | D | — | — | |
| 3 | Common | Common Stock | 2023-04-05 | F | D | 70,019 | $4.19 | 14,772 | 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 April 5, 2023 of $4.19. |
| 4 | Derivative | Stock Option (Right to Buy) | 2023-04-05 | M | D | 84,791 | $0.00 | 0 | D | $3.46 · — to 2023-07-06 | 84,791 Common Stock | (F2) The shares vested 1/48th of the first day of each month, commencing June 1, 2022. (F3) The option expires 90 days following the termination of Mr. Avat's employment with the Company. Mr. Avat's employment terminated on April 7, 2023. While the box indicating that Mr. Avat is no longer subject to Section 16 has been checked, Mr. Avat remains subject to Section 16 through such date. |