Anthony Bergmann - Jan 2, 2025 Form 4 Insider Report for CAPRICOR THERAPEUTICS, INC. (CAPR)

Role
CHIEF FINANCIAL OFFICER
Signature
/s/ Linda Marban, Attorney-in-Fact
Stock symbol
CAPR
Transactions as of
Jan 2, 2025
Transactions value $
$0
Form type
4
Date filed
1/6/2025, 07:00 PM
Previous filing
Jan 4, 2024
Next filing
Mar 4, 2025
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAPR Common Stock Award $0 +3.34K +140.36% $0.00 5.72K Jan 2, 2025 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction CAPR Stock Option (Right to Buy) Award $0 +75K $0.00 75K Jan 2, 2025 Common Stock 75K $14.96 Direct F2
transaction CAPR Stock Option (Right to Buy) Award $0 +6.17K $0.00 6.17K Jan 2, 2025 Common Stock 6.17K $14.96 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents fully vested Restricted Stock Units as of January 2, 2025 issued for services with the Company.
F2 The shares vest 1/48th of the first day of each month, commencing February 1, 2025, 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.
F3 The shares of the award are fully vested and exercisable as of January 2, 2025, the date of the grant.