Form 4 for CAPR CAPRICOR THERAPEUTICS, INC.
Accepted 2023-08-16 00:00:00 ET · period of report 2023-08-14 · accession 0001415889-23-012326 · 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 | 2023-08-16 | 2023-08-14 | CAPR | Litvack Frank | Dir | F - Tax | $6.61 | -4,364 | 133.3K | -3% | -$28.8K |
| D | 2023-08-16 | 2023-08-14 | CAPR | Litvack Frank | Dir | M - OptEx | $1.39 | +20.7K | 137.6K | +18% | +$28.8K |
| D | 2023-08-16 | 2023-08-14 | CAPR | Litvack Frank | Dir | M - OptEx | $0.00 | -20.7K | 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 | 2023-08-14 | F | D | 4,364 | $6.61 | 133,269 | D | — | — | (F2) 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 August 14, 2023 of $6.61. The options would otherwise expire on August 21, 2023, pursuant to their terms. |
| 2 | Common | Common Stock | 2023-08-14 | M | A | 20,748 | $1.39 | 137,633 | D | — | — | (F1) This amount has been adjusted to correct an administrative error in the Form 4 filed by the reporting person on February 23, 2023, which inadvertently overstated the amount of common stock beneficially owned by 20,391 shares. |
| 3 | Derivative | Stock Option (Right to Buy) | 2023-08-14 | M | D | 20,748 | $0.00 | 0 | D | $1.39 · — to 2023-08-21 | 20,748 Common Stock | (F3) This option was granted on August 21, 2013 and was previously reported as covering 207,485 shares at an exercise price of $0.30 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 stock option award is fully vested and exercisable. |