Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CAPRICOR THERAPEUTICS, INC.CAPR · Entity 5337 | Vice President of R&D | December 22, 2017 | January 04, 2018 |
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.
CAPRICOR THERAPEUTICS, INC.
Report date December 22, 2017 · Filed January 04, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 18,504 |
Ending reported balance
After 2017-12-22 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2017-12-22 · Exercise / conversion · Acquired 20,748 · Balance 20,748 F1: On December 22, 2017, the Reporting Person exercised, via cashless exercise, 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 January 1, 2008 under the Company's 2006 Stock Option Plan. Row 2 · 2017-12-22 · Tax withholding · Disposed 2,244 · Balance 18,504 F2: Reflects 2,244 shares withheld by the Issuer at the market price of $1.48 per share to fund the cashless exercise of 20,748 options. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.16 · Expires 2018-01-01 | Direct | 0 |
Reported balance
After 2017-12-22 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-12-22 · Exercise / conversion · Disposed 20,748 · Balance 0 |
Filing footnotes · ownership attribution and instrument terms
F1: On December 22, 2017, the Reporting Person exercised, via cashless exercise, 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 January 1, 2008 under the Company's 2006 Stock Option Plan.
F2: Reflects 2,244 shares withheld by the Issuer at the market price of $1.48 per share to fund the cashless exercise of 20,748 options.
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 |
|---|---|---|---|---|---|---|
| January 02, 2018 Filed Jan 4, 2018 22:04 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $1.57 | $0.00 |
DisclosureSEC source: 0001144204-18-000865 · tv482722_4.xml · derivative · entry 1 Smith Rachel · CIK 0001593089 · Vice President of R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2028-01-02 F1 · derivative.exercise_date: 1/48th of the shares subject to the stock option award shall vest on the first day of each month, commencing February 1, 2018, 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. Read SEC document |
| December 22, 2017 Filed Jan 4, 2018 22:05 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | Exercise / conversionStock Option (right to buy) · Derivative | 20,748 | $0.00 Strike: $0.16 | $0.00 |
DisclosureSEC source: 0001144204-18-000868 · tv482723_4.xml · derivative · entry 3 Smith Rachel · CIK 0001593089 · Vice President of R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,748 shares Expires 2018-01-01 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 |
| December 22, 2017 Filed Jan 4, 2018 22:05 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | Tax withholdingCommon Stock | 2,244 | $1.48 | $3,321.12 |
DisclosureSEC source: 0001144204-18-000868 · tv482723_4.xml · nonDerivative · entry 2 Smith Rachel · CIK 0001593089 · Vice President of R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,504 F2 · shares: Reflects 2,244 shares withheld by the Issuer at the market price of $1.48 per share to fund the cashless exercise of 20,748 options. Read SEC document |
| December 22, 2017 Filed Jan 4, 2018 22:05 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | Exercise / conversionCommon Stock | 20,748 | $0.16 | $3,319.68 |
DisclosureSEC source: 0001144204-18-000868 · tv482723_4.xml · nonDerivative · entry 1 Smith Rachel · CIK 0001593089 · Vice President of R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,748 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 December 22, 2017, the Reporting Person exercised, via cashless exercise, 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 January 1, 2008 under the Company's 2006 Stock Option Plan. Read SEC document |
| January 03, 2017 Filed Jan 5, 2017 02:46 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (right to buy) · Derivative | 35,000 | $0.00 Strike: $2.55 | $0.00 |
DisclosureSEC source: 0001144204-17-000708 · v456184_4.xml · derivative · entry 1 Smith Rachel · CIK 0001593089 · Vice President of R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2027-01-03 F1 · derivative.exercise_date: 1/48th of the shares subject to the stock option award shall vest on the first day of each month, commencing February 1, 2017, 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. F1 · derivative.expiration_date: 1/48th of the shares subject to the stock option award shall vest on the first day of each month, commencing February 1, 2017, 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. 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.