Manzo Louis

SEC source: 0001415889-23-003084 · form4-02232023_090208.xml · derivative · entry 3

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,401 shares

Expires 2023-04-22

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_price: This option was granted on February 22, 2013 and was previously reported as covering 14,015 shares at an exercise price of $0.37 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.

F3 · derivative.exercise_date: 25% of the shares vested immediately, with the remainder vesting monthly over 36 months commencing May 1, 2013.

F2 · derivative.underlying_shares: This option was granted on February 22, 2013 and was previously reported as covering 14,015 shares at an exercise price of $0.37 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.

SEC source: 0001415889-23-003084 · form4-02232023_090208.xml · nonDerivative · entry 2

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,147

F1 · date: 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 February 21, 2023 of $4.31. The options would otherwise expire on February 22, 2023, pursuant to their terms.

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 February 21, 2023 of $4.31. The options would otherwise expire on February 22, 2023, pursuant to their terms.

SEC source: 0001415889-23-003084 · form4-02232023_090208.xml · nonDerivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,599

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.

SEC source: 0001415889-23-000595 · form4-01052023_080148.xml · derivative · entry 3

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,000

Underlying: Common Stock · 19,000 shares

Expires 2033-01-03

F3 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 3, 2023, the date of the grant. The award pertains to annual board service.

SEC source: 0001415889-23-000595 · form4-01052023_080148.xml · derivative · entry 2

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,120

Underlying: Common Stock · 7,120 shares

Expires 2033-01-03

F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 3, 2023, the date of the grant. The award pertains to annual board committee service.

SEC source: 0001415889-23-000595 · form4-01052023_080148.xml · derivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,770

Underlying: Common Stock · 37,770 shares

Expires 2033-01-03

F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2023, with the last month vesting on December 31, 2023, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. 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.

SEC source: 0001415889-22-003580 · form4-04012022_050408.xml · derivative · entry 4

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,449 shares

Expires 2022-04-27

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.

F4 · derivative.exercise_price: This option was granted on April 27, 2012 and was previously reported as covering 124,491 shares at an exercise price of $0.37 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.

F5 · derivative.exercise_date: The shares vested immediately.

F4 · derivative.underlying_shares: This option was granted on April 27, 2012 and was previously reported as covering 124,491 shares at an exercise price of $0.37 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.

SEC source: 0001415889-22-003580 · form4-04012022_050408.xml · derivative · entry 3

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,455 shares

Expires 2022-04-27

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_price: This option was granted on April 27, 2012 and was previously reported as covering 154,555 shares at an exercise price of $0.37 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.

F3 · derivative.exercise_date: The shares vested 1/48th of the first day of each month, commencing May 1, 2012.

F2 · derivative.underlying_shares: This option was granted on April 27, 2012 and was previously reported as covering 154,555 shares at an exercise price of $0.37 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.

SEC source: 0001415889-22-003580 · form4-04012022_050408.xml · nonDerivative · entry 2

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,595

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 March 31, 2022 of $3.43. The options would otherwise expire on April 27, 2022, pursuant to their terms.

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 March 31, 2022 of $3.43. The options would otherwise expire on April 27, 2022, pursuant to their terms.

SEC source: 0001415889-22-003580 · form4-04012022_050408.xml · nonDerivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,904

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.

SEC source: 0001415889-22-000280 · form4-01042022_090134.xml · derivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,590

Underlying: Common Stock · 83,590 shares

Expires 2032-01-03

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 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.

SEC source: 0001104659-21-001593 · tm211849-7_4seq1.xml · derivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,066

Underlying: Common Stock · 72,066 shares

Expires 2031-01-04

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2021, 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.

SEC source: 0001104659-20-109138 · tm2031826-1_4.xml · derivative · entry 3

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,299 shares

Expires 2020-09-25

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.

F3 · derivative.exercise_price: This option was previously reported as covering 82,994 shares at an exercise price of $0.37 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019.

F4 · derivative.exercise_date: 4,409 of the shares of common stock subject to this option vested immediately. 778 of the shares of common stock subject to this option vested on each of October 31, 2010, January 31, 2011, April 30, 2011, July 31, 2011, and October 31, 2011.

F3 · derivative.underlying_shares: This option was previously reported as covering 82,994 shares at an exercise price of $0.37 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019.

SEC source: 0001104659-20-109138 · tm2031826-1_4.xml · nonDerivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,603

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.

F1 · date: On September 24, 2020, the Reporting Person exercised stock options for 8,299 shares of Common Stock. The exercise price of $3.70 per share and the exercise was subject to the terms and conditions of a Stock Option Award which was granted on September 25, 2010 under the Issuer's 2006 Stock Option Plan.

SEC source: 0001104659-20-071423 · tm2022128-7_4.xml · derivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,000

Underlying: Common Stock · 83,000 shares

Expires 2030-06-05

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing March 1, 2020, until the stock option becomes fully vested and exercisable. The following stock option grant was approved by the Board on February 12, 2020 under the 2020 Plan, contingent upon stockholder approval of the 2020 Plan, which was obtained on June 5, 2020. 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.

SEC source: 0001104659-20-022104 · tm208086d7_4.xml · derivative · entry 14

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,904 shares

Expires 2022-04-27

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022104 · tm208086d7_4.xml · derivative · entry 13

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,401 shares

Expires 2023-03-06

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022104 · tm208086d7_4.xml · derivative · entry 12

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,500 shares

Expires 2025-03-03

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022104 · tm208086d7_4.xml · derivative · entry 11

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,000 shares

Expires 2026-06-02

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022104 · tm208086d7_4.xml · derivative · entry 10

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,356 shares

Expires 2027-01-03

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F4 · derivative.exercise_date: 856 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2017, until the stock option becomes fully vested and exercisable. The remaining 1,500 shares will vest 1/12th on the first day of each month, commencing February 1, 2017, with the last month vesting on December 31, 2017. 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022104 · tm208086d7_4.xml · derivative · entry 9

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,550 shares

Expires 2028-01-02

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F3 · derivative.exercise_date: 1,050 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. The remaining 1,500 shares will vest 1/12th on the first day of each month, commencing February 1, 2018, with the last month vesting on December 31, 2018. 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022104 · tm208086d7_4.xml · derivative · entry 8

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,500 shares

Expires 2029-08-08

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F1 · derivative.exercise_date: 3,000 of the shares were vested on the date of grant. The remaining 1,500 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022104 · tm208086d7_4.xml · derivative · entry 7

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,904

Underlying: Common Stock · 27,904 shares

Expires 2022-04-27

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022104 · tm208086d7_4.xml · derivative · entry 6

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,401

Underlying: Common Stock · 1,401 shares

Expires 2023-03-06

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022104 · tm208086d7_4.xml · derivative · entry 5

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2025-03-03

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022104 · tm208086d7_4.xml · derivative · entry 4

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 3,000 shares

Expires 2026-06-02

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022104 · tm208086d7_4.xml · derivative · entry 3

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,356

Underlying: Common Stock · 2,356 shares

Expires 2027-01-03

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F4 · derivative.exercise_date: 856 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2017, until the stock option becomes fully vested and exercisable. The remaining 1,500 shares will vest 1/12th on the first day of each month, commencing February 1, 2017, with the last month vesting on December 31, 2017. 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022104 · tm208086d7_4.xml · derivative · entry 2

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,550

Underlying: Common Stock · 2,550 shares

Expires 2028-01-02

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F3 · derivative.exercise_date: 1,050 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. The remaining 1,500 shares will vest 1/12th on the first day of each month, commencing February 1, 2018, with the last month vesting on December 31, 2018. 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022104 · tm208086d7_4.xml · derivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,500

Underlying: Common Stock · 4,500 shares

Expires 2029-08-08

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F1 · derivative.exercise_date: 3,000 of the shares were vested on the date of grant. The remaining 1,500 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-19-074513 · tm1926719d1_4.xml · derivative · entry 3

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,391

Underlying: Common Stock · 20,391 shares

Expires 2024-12-17

F1 · price: The Reporting Person on December 17, 2019, purchased 20,391 shares of the common stock of Capricor Therapeutics, Inc. (the "Issuer"), and accompanying amount of warrants to purchase up to an aggregate of 20,391 shares of the Issuer's common stock, at a combined purchase price of $1.226 per share of common stock and accompanying warrant, for a total cost of approximately US$25,000.

SEC source: 0001104659-19-074513 · tm1926719d1_4.xml · nonDerivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,304

F1 · price: The Reporting Person on December 17, 2019, purchased 20,391 shares of the common stock of Capricor Therapeutics, Inc. (the "Issuer"), and accompanying amount of warrants to purchase up to an aggregate of 20,391 shares of the Issuer's common stock, at a combined purchase price of $1.226 per share of common stock and accompanying warrant, for a total cost of approximately US$25,000.

SEC source: 0001144204-19-038996 · tv527327_form4.xml · derivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,500

Underlying: Common Stock · 4,500 shares

Expires 2029-08-08

F1 · derivative.exercise_date: 3,000 of the shares shall vest immediately. The remaining 1,500 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, until the stock option becomes fully vested and exercisable. However, 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-18-000863 · tv482720_4.xml · derivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,500

Underlying: Common Stock · 25,500 shares

Expires 2028-01-02

F1 · derivative.exercise_date: 10,500 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. The remaining 15,000 shares will vest 1/12 on the first day of each month, commencing February 1, 2018, with the last month vesting on December 31, 2018. However, 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-17-053990 · tv477689_4.xml · derivative · entry 3

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,748 shares

Expires 2017-10-31

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.

F3 · derivative.exercise_date: 25% of the shares subject to the Reporting Person's stock option became exercisable on each of the following dates: (1) February 1, 2008; (2) May 1, 2008; (3) August 1, 2008; and (4) November 1, 2008.

SEC source: 0001144204-17-053990 · tv477689_4.xml · nonDerivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,132

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.

F1 · date: On October 23, 2017, the Reporting Person exercised stock options for 20,748 shares of Common Stock. The exercise price was $0.16 per share and the exercise was subject to the terms and conditions of a Stock Option Award which was granted on November 1, 2007 under the Company's 2006 Stock Option Plan.

SEC source: 0001144204-17-026396 · v466673_4.xml · nonDerivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,384

F1 · kind: The Reporting Person entered into a Subscription Agreement with Capricor Therapeutics, Inc. (the "Issuer") pursuant to which the Reporting Person, on May 5, 2017 purchased an aggregate of 10,000 shares of the Issuer's common stock at a purchase price of $3.10 per share for total cash proceeds of approximately US$31,000.

SEC source: 0001144204-17-000706 · v456182_4.xml · derivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,560

Underlying: Common Stock · 23,560 shares

Expires 2027-01-03

F1 · derivative.exercise_date: 8,560 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2017, until the stock option becomes fully vested and exercisable. The remaining 15,000 shares will vest 1/12 on the first day of each month, commencing February 1, 2017, with the last month vesting on December 31, 2017. However, 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.