Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
CAPRICOR THERAPEUTICS, INC.
Report date April 17, 2023 · Filed April 27, 2023
Section 16 reporting ended · disclosed 2023-04-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-04-17 transaction · row 1
1 source rowRow 1 · 2023-04-17 · Sale · Disposed 14,772 · Balance 0 |
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 17, 2023 Filed Apr 27, 2023 21:28 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | SaleCommon Stock | 14,772 | $64,258.00 | $949,219,176.00 |
DisclosureSEC source: 0001931345-23-000003 · primary_doc.xml · nonDerivative · entry 1 Avat Xavier · CIK 0001931345 · Former CBO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Read SEC document |
| April 05, 2023 Filed Apr 7, 2023 21:00 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | Exercise / conversionStock Option (Right to Buy) · Derivative | 84,791 | $0.00 Strike: $3.46 | $0.00 |
DisclosureSEC source: 0001415889-23-006365 · form4-04072023_050408.xml · derivative · entry 4 Avat Xavier · CIK 0001931345 · FORMER CHIEF BUSINESS OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 84,791 shares Expires 2023-07-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The shares vested 1/48th of the first day of each month, commencing June 1, 2022. F3 · derivative.expiration_date: 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. Read SEC document |
| April 05, 2023 Filed Apr 7, 2023 21:00 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | Tax withholdingCommon Stock | 70,019 | $4.19 | $293,379.61 |
DisclosureSEC source: 0001415889-23-006365 · form4-04072023_050408.xml · nonDerivative · entry 3 Avat Xavier · CIK 0001931345 · FORMER CHIEF BUSINESS OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,772 F1 · kind: 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. F1 · price: 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. Read SEC document |
| April 05, 2023 Filed Apr 7, 2023 21:00 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | Exercise / conversionCommon Stock | 84,791 | $3.46 | $293,376.86 |
DisclosureSEC source: 0001415889-23-006365 · form4-04072023_050408.xml · nonDerivative · entry 2 Avat Xavier · CIK 0001931345 · FORMER CHIEF BUSINESS OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 84,791 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 28, 2023 Filed Apr 7, 2023 21:00 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | SaleCommon Stock | 3,000 | $4.06 | $12,180.00 |
DisclosureSEC source: 0001415889-23-006365 · form4-04072023_050408.xml · nonDerivative · entry 1 Avat Xavier · CIK 0001931345 · FORMER CHIEF BUSINESS OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Read SEC document |
| July 06, 2022 Filed Jul 7, 2022 21:31 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | PurchaseCommon Stock | 1,000 | $3.68 | $3,680.00 |
DisclosureSEC source: 0001415889-22-007544 · form4-07072022_020749.xml · nonDerivative · entry 2 Avat Xavier · CIK 0001931345 · CHIEF BUSINESS OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 Read SEC document |
| June 29, 2022 Filed Jul 7, 2022 21:31 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | PurchaseCommon Stock | 1,500 | $3.76 | $5,642.85 |
DisclosureSEC source: 0001415889-22-007544 · form4-07072022_020749.xml · nonDerivative · entry 1 Avat Xavier · CIK 0001931345 · CHIEF BUSINESS OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Read SEC document |
| May 23, 2022 Filed May 27, 2022 01:33 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 370,000 | $0.00 Strike: $3.46 | $0.00 |
DisclosureSEC source: 0001415889-22-005749 · form4-05262022_060515.xml · derivative · entry 1 Avat Xavier · CIK 0001931345 · CHIEF BUSINESS OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 370,000 Underlying: Common Stock · 370,000 shares Expires 2032-05-23 F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing June 1, 2022, 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.