Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ARDELYX, INC.ARDX · Entity 4972 | Chief Business Officer | August 21, 2026 | August 25, 2026 |
| CAPRICOR THERAPEUTICS, INC.CAPR · Entity 5337 | Director | January 05, 2026 | January 07, 2026 |
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.
ARDELYX, INC.
Report date August 21, 2026 · Filed August 25, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 349,660 |
Ending reported balance
After 2026-08-21 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2026-08-21 · Sale · Disposed 3,104 · Balance 354,314 F1: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes. The transaction was executed in multiple trades in prices ranging from $3.648 to $3.984, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Row 2 · 2026-08-21 · Sale · Disposed 2,652 · Balance 351,662 F1: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes. The transaction was executed in multiple trades in prices ranging from $3.648 to $3.984, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Row 3 · 2026-08-21 · Sale · Disposed 2,002 · Balance 349,660 F1: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes. The transaction was executed in multiple trades in prices ranging from $3.648 to $3.984, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes. The transaction was executed in multiple trades in prices ranging from $3.648 to $3.984, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
CAPRICOR THERAPEUTICS, INC.
Report date January 05, 2026 · Filed January 07, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $24.81 · Expires 2036-01-05 | Direct | 15,500 |
Reported balance
After 2026-01-05 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-01-05 · Grant · Acquired 15,500 · Balance 15,500 F1: The shares vest 1/12th of the first day of each month, commencing February 1, 2026, with the last month vesting on December 31, 2026, 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares vest 1/12th of the first day of each month, commencing February 1, 2026, with the last month vesting on December 31, 2026, 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.
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 |
|---|---|---|---|---|---|---|
| August 21, 2026 Filed Aug 25, 2026 23:11 UTC | ARDELYX, INC. ARDX · Entity 4972 | SaleCommon Stock | 2,002 | $3.86 | $7,721.51 |
DisclosureSEC source: 0001987188-26-000009 · wk-form4_1787699487.xml · nonDerivative · entry 3 Kelliher Mike · CIK 0001987188 · Chief Business Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 349,660 F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes. The transaction was executed in multiple trades in prices ranging from $3.648 to $3.984, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| August 21, 2026 Filed Aug 25, 2026 23:11 UTC | ARDELYX, INC. ARDX · Entity 4972 | SaleCommon Stock | 2,652 | $3.86 | $10,228.50 |
DisclosureSEC source: 0001987188-26-000009 · wk-form4_1787699487.xml · nonDerivative · entry 2 Kelliher Mike · CIK 0001987188 · Chief Business Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 351,662 F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes. The transaction was executed in multiple trades in prices ranging from $3.648 to $3.984, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| August 21, 2026 Filed Aug 25, 2026 23:11 UTC | ARDELYX, INC. ARDX · Entity 4972 | SaleCommon Stock | 3,104 | $3.86 | $11,971.82 |
DisclosureSEC source: 0001987188-26-000009 · wk-form4_1787699487.xml · nonDerivative · entry 1 Kelliher Mike · CIK 0001987188 · Chief Business Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 354,314 F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes. The transaction was executed in multiple trades in prices ranging from $3.648 to $3.984, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| May 21, 2026 Filed May 22, 2026 20:10 UTC | ARDELYX, INC. ARDX · Entity 4972 | SaleCommon Stock | 2,478 | $6.27 | $15,530.87 |
DisclosureSEC source: 0001987188-26-000006 · wk-form4_1779480648.xml · nonDerivative · entry 3 Kelliher Mike · CIK 0001987188 · Chief Business Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 357,418 F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes. Read SEC document |
| May 21, 2026 Filed May 22, 2026 20:10 UTC | ARDELYX, INC. ARDX · Entity 4972 | SaleCommon Stock | 1,870 | $6.27 | $11,720.23 |
DisclosureSEC source: 0001987188-26-000006 · wk-form4_1779480648.xml · nonDerivative · entry 2 Kelliher Mike · CIK 0001987188 · Chief Business Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 359,896 F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes. Read SEC document |
| May 21, 2026 Filed May 22, 2026 20:10 UTC | ARDELYX, INC. ARDX · Entity 4972 | SaleCommon Stock | 2,900 | $6.27 | $18,175.75 |
DisclosureSEC source: 0001987188-26-000006 · wk-form4_1779480648.xml · nonDerivative · entry 1 Kelliher Mike · CIK 0001987188 · Chief Business Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 361,766 F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes. Read SEC document |
| February 20, 2026 Filed Feb 24, 2026 01:45 UTC | ARDELYX, INC. ARDX · Entity 4972 | SaleCommon Stock | 2 | $5.71 | $11.41 |
DisclosureSEC source: 0001610717-26-000059 · form4.xml · nonDerivative · entry 3 Kelliher Mike · CIK 0001987188 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 364,666 F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes. Read SEC document |
| February 20, 2026 Filed Feb 24, 2026 01:45 UTC | ARDELYX, INC. ARDX · Entity 4972 | SaleCommon Stock | 1,159 | $5.71 | $6,622.29 |
DisclosureSEC source: 0001610717-26-000059 · form4.xml · nonDerivative · entry 2 Kelliher Mike · CIK 0001987188 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 364,668 F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes. Read SEC document |
| February 20, 2026 Filed Feb 24, 2026 01:45 UTC | ARDELYX, INC. ARDX · Entity 4972 | SaleCommon Stock | 8,434 | $5.87 | $49,465.41 |
DisclosureSEC source: 0001610717-26-000059 · form4.xml · nonDerivative · entry 1 Kelliher Mike · CIK 0001987188 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 365,827 F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes. Read SEC document |
| January 23, 2026 Filed Jan 26, 2026 21:29 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantStock Option (Right to Buy) · Derivative | 154,625 | $0.00 Strike: $7.77 | $0.00 |
DisclosureSEC source: 0001610717-26-000025 · form4.xml · derivative · entry 2 Kelliher Mike · CIK 0001987188 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 154,625 Underlying: Common Stock · 154,625 shares Expires 2036-01-23 F2 · derivative.exercise_date: The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of January 23, 2026, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. Read SEC document |
| January 23, 2026 Filed Jan 26, 2026 21:29 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantCommon Stock | 103,080 | $0.00 | $0.00 |
DisclosureSEC source: 0001610717-26-000025 · form4.xml · nonDerivative · entry 1 Kelliher Mike · CIK 0001987188 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 374,261 F1 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| January 05, 2026 Filed Jan 7, 2026 21:45 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 15,500 | $0.00 Strike: $24.81 | $0.00 |
DisclosureSEC source: 0001987188-26-000002 · form4-01072026_040117.xml · derivative · entry 1 Kelliher Mike · CIK 0001987188 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,500 Underlying: Common Stock · 15,500 shares Expires 2036-01-05 F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2026, with the last month vesting on December 31, 2026, 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. Read SEC document |
| November 21, 2025 Filed Nov 25, 2025 21:38 UTC | ARDELYX, INC. ARDX · Entity 4972 | SaleCommon Stock | 5,560 | $5.54 | $30,785.16 |
DisclosureSEC source: 0001610717-25-000395 · form4.xml · nonDerivative · entry 1 Kelliher Mike · CIK 0001987188 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 271,181 F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes. Read SEC document |
| August 21, 2025 Filed Aug 28, 2025 23:29 UTC | ARDELYX, INC. ARDX · Entity 4972 | SaleCommon Stock | 5,417 | $5.93 | $32,132.02 |
DisclosureSEC source: 0001628280-25-041338 · wk-form4_1756423788.xml · nonDerivative · entry 1 Kelliher Mike · CIK 0001987188 · Chief Business Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 276,741 F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes. Read SEC document |
| May 20, 2025 Filed May 23, 2025 01:51 UTC | ARDELYX, INC. ARDX · Entity 4972 | SaleCommon Stock | 14,522 | $4.08 | $59,270.09 |
DisclosureSEC source: 0001628280-25-027427 · wk-form4_1747965072.xml · nonDerivative · entry 1 Kelliher Mike · CIK 0001987188 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 282,158 F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes. Read SEC document |
| February 25, 2025 Filed Feb 27, 2025 22:57 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantStock Option (Right to Buy) · Derivative | 205,019 | $0.00 Strike: $5.18 | $0.00 |
DisclosureSEC source: 0001628280-25-008794 · wk-form4_1740697070.xml · derivative · entry 2 Kelliher Mike · CIK 0001987188 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 205,019 Underlying: Common Stock · 205,019 shares Expires 2035-02-25 F2 · derivative.exercise_date: The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of February 25, 2025, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. Read SEC document |
| February 25, 2025 Filed Feb 27, 2025 22:57 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantCommon Stock | 136,680 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-25-008794 · wk-form4_1740697070.xml · nonDerivative · entry 1 Kelliher Mike · CIK 0001987188 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 296,680 F1 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| January 02, 2025 Filed Jan 7, 2025 00:00 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 5,750 | $0.00 Strike: $14.96 | $0.00 |
DisclosureSEC source: 0001415889-25-000873 · form4-01062025_070115.xml · derivative · entry 3 Kelliher Mike · CIK 0001987188 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,750 Underlying: Common Stock · 5,750 shares Expires 2035-01-02 F3 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2025, the date of the grant. The award pertains to annual board service. Read SEC document |
| January 02, 2025 Filed Jan 7, 2025 00:00 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 1,440 | $0.00 Strike: $14.96 | $0.00 |
DisclosureSEC source: 0001415889-25-000873 · form4-01062025_070115.xml · derivative · entry 2 Kelliher Mike · CIK 0001987188 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,440 Underlying: Common Stock · 1,440 shares Expires 2035-01-02 F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2025, the date of the grant. The award pertains to annual board committee service. Read SEC document |
| January 02, 2025 Filed Jan 7, 2025 00:00 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 11,940 | $0.00 Strike: $14.96 | $0.00 |
DisclosureSEC source: 0001415889-25-000873 · form4-01062025_070115.xml · derivative · entry 1 Kelliher Mike · CIK 0001987188 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,940 Underlying: Common Stock · 11,940 shares Expires 2035-01-02 F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2025, with the last month vesting on December 31, 2025, 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. Read SEC document |
| March 25, 2024 Filed Mar 27, 2024 22:13 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantStock Option (Right to Buy) · Derivative | 205,000 | $0.00 Strike: $7.70 | $0.00 |
DisclosureSEC source: 0001610717-24-000188 · form4.xml · derivative · entry 2 Kelliher Mike · CIK 0001987188 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 205,000 Underlying: Common Stock · 205,000 shares Expires 2034-03-25 F2 · derivative.exercise_date: Twenty Five Percent (25%) of the shares subject to the option vest on March 25, 2025 and the remaining shares subject to the option vest in 36 successive, equal monthly installments thereafter, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. Read SEC document |
| March 25, 2024 Filed Mar 27, 2024 22:13 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantCommon Stock | 160,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001610717-24-000188 · form4.xml · nonDerivative · entry 1 Kelliher Mike · CIK 0001987188 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 160,000 F1 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| January 02, 2024 Filed Jan 4, 2024 22:15 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $5.12 | $0.00 |
DisclosureSEC source: 0001415889-24-000658 · form4-01042024_050133.xml · derivative · entry 4 Kelliher Mike · CIK 0001987188 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2034-01-02 F4 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of April 1, 2024. Read SEC document |
| January 02, 2024 Filed Jan 4, 2024 22:15 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 4,730 | $0.00 Strike: $5.12 | $0.00 |
DisclosureSEC source: 0001415889-24-000658 · form4-01042024_050133.xml · derivative · entry 3 Kelliher Mike · CIK 0001987188 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,730 Underlying: Common Stock · 4,730 shares Expires 2034-01-02 F3 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant. The award pertains to annual board service. Read SEC document |
| January 02, 2024 Filed Jan 4, 2024 22:15 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 890 | $0.00 Strike: $5.12 | $0.00 |
DisclosureSEC source: 0001415889-24-000658 · form4-01042024_050133.xml · derivative · entry 2 Kelliher Mike · CIK 0001987188 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 890 Underlying: Common Stock · 890 shares Expires 2034-01-02 F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant. The award pertains to annual board committee service. Read SEC document |
| January 02, 2024 Filed Jan 4, 2024 22:15 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 29,250 | $0.00 Strike: $5.12 | $0.00 |
DisclosureSEC source: 0001415889-24-000658 · form4-01042024_050133.xml · derivative · entry 1 Kelliher Mike · CIK 0001987188 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,250 Underlying: Common Stock · 29,250 shares Expires 2034-01-02 F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2024, with the last month vesting on December 31, 2024, 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. Read SEC document |
| September 01, 2023 Filed Sep 6, 2023 22:03 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 115,000 | $0.00 Strike: $6.61 | $0.00 |
DisclosureSEC source: 0001415889-23-013031 · form4-09062023_100950.xml · derivative · entry 1 Kelliher Mike · CIK 0001987188 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 115,000 Underlying: Common Stock · 115,000 shares Expires 2033-09-01 F1 · derivative.exercise_date: The shares vest 25% on the first anniversary of the first day of the month following the Grant Date, with the remainder to vest at the rate of 1/36 per month thereafter. 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.