Anthony Bergmann - 02 Jan 2025 Form 4 Insider Report for CAPRICOR THERAPEUTICS, INC. (CAPR)

Signature
/s/ Linda Marban, Attorney-in-Fact
Issuer symbol
CAPR
Transactions as of
02 Jan 2025
Net transactions value
$0
Form type
4
Filing time
06 Jan 2025, 19:00:27 UTC
Previous filing
04 Jan 2024
Next filing
04 Mar 2025

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAPR Common Stock Award $0 +3,342 +140% $0.000000 5,723 02 Jan 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 +75,000 $0.000000 75,000 02 Jan 2025 Common Stock 75,000 $14.96 Direct F2
transaction CAPR Stock Option (Right to Buy) Award $0 +6,170 $0.000000 6,170 02 Jan 2025 Common Stock 6,170 $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.