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Krasney Karen

Disclosed activity across 1 company

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34922
SEC CIK
0001593086

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
CAPRICOR THERAPEUTICS, INC.CAPR · Entity 5337EVP, GENERAL COUNSELJune 25, 2026June 30, 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.

CAPRICOR THERAPEUTICS, INC.

Report date June 25, 2026 · Filed June 30, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect30,547 Ending reported balance After 2026-06-25 transaction · row 2
2 source rows · reconciled sequence

Row 1 · 2026-06-25 · Exercise / conversion · Acquired 24,100 · Balance 54,647

Row 2 · 2026-06-25 · Sale · Disposed 24,100 · Balance 30,547

F1: Shares were sold pursuant to a 10b5-1 trading plan adopted in December 2025 by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2: The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.88, inclusive.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.18 · Expires 2032-01-03Direct31,261 Reported balance After 2026-06-25 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2026-06-25 · Exercise / conversion · Disposed 24,100 · Balance 31,261

F3: Shares vested 1/48th on the first day of each month commencing February 1, 2022.

Filing footnotes · ownership attribution and instrument terms

F1: Shares were sold pursuant to a 10b5-1 trading plan adopted in December 2025 by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2: The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.88, inclusive.

F3: Shares vested 1/48th on the first day of each month commencing February 1, 2022.

Transaction history

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Purchases/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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 25, 2026 Filed Jun 30, 2026 01:30 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Exercise / conversionStock Option (Right to Buy) · Derivative 24,100 $0.00 Strike: $3.18 $0.00
Disclosure

SEC source: 0001593086-26-000012 · form4-06292026_090604.xml · derivative · entry 3

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,261

Underlying: Common Stock · 24,100 shares

Expires 2032-01-03

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: Shares vested 1/48th on the first day of each month commencing February 1, 2022.

Read SEC document
June 25, 2026 Filed Jun 30, 2026 01:30 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 SaleCommon Stock 24,100 $30.38 $732,158.00
Disclosure

SEC source: 0001593086-26-000012 · form4-06292026_090604.xml · nonDerivative · entry 2

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,547

F1 · kind: Shares were sold pursuant to a 10b5-1 trading plan adopted in December 2025 by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.88, inclusive.

Read SEC document
June 25, 2026 Filed Jun 30, 2026 01:30 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Exercise / conversionCommon Stock 24,100 $3.18 $76,638.00
Disclosure

SEC source: 0001593086-26-000012 · form4-06292026_090604.xml · nonDerivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,647

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
June 24, 2026 Filed Jun 25, 2026 00:00 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Exercise / conversionStock Option (Right to Buy) · Derivative 400 $0.00 Strike: $3.18 $0.00
Disclosure

SEC source: 0001593086-26-000010 · form4-06242026_080605.xml · derivative · entry 6

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,361

Underlying: Common Stock · 400 shares

Expires 2032-01-03

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: Shares vested 1/48th on the first day of each month commencing February 1, 2022.

Read SEC document
June 24, 2026 Filed Jun 25, 2026 00:00 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 SaleCommon Stock 400 $30.00 $12,000.00
Disclosure

SEC source: 0001593086-26-000010 · form4-06242026_080605.xml · nonDerivative · entry 4

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,547

F1 · kind: Shares were sold pursuant to a 10b5-1 trading plan adopted in December 2025 by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
June 24, 2026 Filed Jun 25, 2026 00:00 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Exercise / conversionCommon Stock 400 $3.18 $1,272.00
Disclosure

SEC source: 0001593086-26-000010 · form4-06242026_080605.xml · nonDerivative · entry 3

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,947

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
June 22, 2026 Filed Jun 25, 2026 00:00 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Exercise / conversionStock Option (Right to Buy) · Derivative 500 $0.00 Strike: $3.18 $0.00
Disclosure

SEC source: 0001593086-26-000010 · form4-06242026_080605.xml · derivative · entry 5

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,761

Underlying: Common Stock · 500 shares

Expires 2032-01-03

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: Shares vested 1/48th on the first day of each month commencing February 1, 2022.

Read SEC document
June 22, 2026 Filed Jun 25, 2026 00:00 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 SaleCommon Stock 500 $30.00 $15,000.00
Disclosure

SEC source: 0001593086-26-000010 · form4-06242026_080605.xml · nonDerivative · entry 2

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,547

F1 · kind: Shares were sold pursuant to a 10b5-1 trading plan adopted in December 2025 by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
June 22, 2026 Filed Jun 25, 2026 00:00 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Exercise / conversionCommon Stock 500 $3.18 $1,590.00
Disclosure

SEC source: 0001593086-26-000010 · form4-06242026_080605.xml · nonDerivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,047

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
May 01, 2026 Filed May 4, 2026 20:30 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Exercise / conversionStock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $3.18 $0.00
Disclosure

SEC source: 0001593086-26-000008 · form4-05042026_040503.xml · derivative · entry 3

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 56,261

Underlying: Common Stock · 25,000 shares

Expires 2032-01-03

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: Shares vested 1/48th on the first day of each month commencing February 1, 2022.

Read SEC document
May 01, 2026 Filed May 4, 2026 20:30 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 SaleCommon Stock 25,000 $31.70 $792,547.50
Disclosure

SEC source: 0001593086-26-000008 · form4-05042026_040503.xml · nonDerivative · entry 2

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 30,547

F1 · kind: Shares were sold pursuant to a 10b5-1 trading plan adopted in December 2025 by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $30.88 to $33.19, inclusive.

Read SEC document
May 01, 2026 Filed May 4, 2026 20:30 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Exercise / conversionCommon Stock 25,000 $3.18 $79,500.00
Disclosure

SEC source: 0001593086-26-000008 · form4-05042026_040503.xml · nonDerivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 55,547

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 31, 2026 Filed Apr 2, 2026 00:00 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Exercise / conversionStock Option (Right to Buy) · Derivative 2,819 $0.00 Strike: $3.18 $0.00
Disclosure

SEC source: 0001593086-26-000006 · form4-04012026_080410.xml · derivative · entry 7

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 81,261

Underlying: Common Stock · 2,819 shares

Expires 2032-01-03

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.

F6 · derivative.exercise_date: Shares vested 1/48th on the first day of each month commencing February 1, 2022.

Read SEC document
March 31, 2026 Filed Apr 2, 2026 00:00 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Exercise / conversionStock Option (Right to Buy) · Derivative 21,488 $0.00 Strike: $3.74 $0.00
Disclosure

SEC source: 0001593086-26-000006 · form4-04012026_080410.xml · derivative · entry 6

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 74,205

Underlying: Common Stock · 21,488 shares

Expires 2031-01-04

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.

F5 · derivative.exercise_date: Shares vested 1/48th on the first day of each month commencing February 1, 2021.

Read SEC document
March 31, 2026 Filed Apr 2, 2026 00:00 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Exercise / conversionStock Option (Right to Buy) · Derivative 693 $0.00 Strike: $1.39 $0.00
Disclosure

SEC source: 0001593086-26-000006 · form4-04012026_080410.xml · derivative · entry 5

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,807

Underlying: Common Stock · 693 shares

Expires 2028-01-02

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 granted on January 2, 2018 and was previously reported as covering 35,000 shares at an exercise price of $1.57 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice of $1.39 per share that occurred on February 12, 2020.

F3 · shares: This option was granted on January 2, 2018 and was previously reported as covering 35,000 shares at an exercise price of $1.57 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice of $1.39 per share that occurred on February 12, 2020.

F4 · derivative.exercise_date: Shares vested 1/48th on the first day of each month commencing February 1, 2018.

Read SEC document
March 31, 2026 Filed Apr 2, 2026 00:00 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 SaleCommon Stock 25,000 $30.12 $752,935.00
Disclosure

SEC source: 0001593086-26-000006 · form4-04012026_080410.xml · nonDerivative · entry 4

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 30,547

F1 · kind: Shares were sold pursuant to a 10b5-1 trading plan adopted in December 2025 by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.31, inclusive.

Read SEC document
March 31, 2026 Filed Apr 2, 2026 00:00 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Exercise / conversionCommon Stock 2,819 $3.18 $8,964.42
Disclosure

SEC source: 0001593086-26-000006 · form4-04012026_080410.xml · nonDerivative · entry 3

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 55,547

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 31, 2026 Filed Apr 2, 2026 00:00 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Exercise / conversionCommon Stock 21,488 $3.74 $80,365.12
Disclosure

SEC source: 0001593086-26-000006 · form4-04012026_080410.xml · nonDerivative · entry 2

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 52,728

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 31, 2026 Filed Apr 2, 2026 00:00 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Exercise / conversionCommon Stock 693 $1.39 $963.27
Disclosure

SEC source: 0001593086-26-000006 · form4-04012026_080410.xml · nonDerivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 31,240

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
January 05, 2026 Filed Jan 7, 2026 21:45 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 GrantStock Option (Right to Buy) · Derivative 22,500 $0.00 Strike: $24.81 $0.00
Disclosure

SEC source: 0001593086-26-000002 · form4-01072026_040121.xml · derivative · entry 2

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2027-01-05

F2 · derivative.exercise_date: These shares of the award vest and become exercisable on the date of U.S. Food and Drug Administration approval of Deramiocel. Vesting is subject to the Reporting Person's continued service to the Issuer through the vesting date.

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 22,500 $0.00 Strike: $24.81 $0.00
Disclosure

SEC source: 0001593086-26-000002 · form4-01072026_040121.xml · derivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2036-01-05

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2026, 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
December 30, 2025 Filed Mar 27, 2026 23:15 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Exercise / conversionStock Option (Right to Buy) · Derivative 2,500 $0.00 Strike: $1.39 $0.00
Disclosure

SEC source: 0001593086-26-000004 · form4-03272026_070301.xml · derivative · entry 2

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,500 shares

Expires 2027-01-03

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 · shares: This option was granted on January 3, 2017 and was previously covering 25,000 shares at an exercise price of $2.55 per share, but was adjusted to reflect a 1-for-10 reverse split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

F2 · derivative.exercise_date: Shares vested 1/48th on the first day of each month commencing February 1, 2017.

F1 · derivative.underlying_shares: This option was granted on January 3, 2017 and was previously covering 25,000 shares at an exercise price of $2.55 per share, but was adjusted to reflect a 1-for-10 reverse split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

Read SEC document
December 30, 2025 Filed Mar 27, 2026 23:15 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Exercise / conversionCommon Stock 2,500 $1.39 $3,475.00
Disclosure

SEC source: 0001593086-26-000004 · form4-03272026_070301.xml · nonDerivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,547

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
January 02, 2025 Filed Jan 7, 2025 00:00 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 GrantStock Option (Right to Buy) · Derivative 60,000 $0.00 Strike: $14.96 $0.00
Disclosure

SEC source: 0001415889-25-000875 · form4-01062025_070120.xml · derivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2035-01-02

F1 · derivative.exercise_date: 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.

Read SEC document
December 13, 2024 Filed Dec 16, 2024 14:25 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Exercise / conversionStock Option (Right to Buy) · Derivative 5,000 $0.00 Strike: $1.39 $0.00
Disclosure

SEC source: 0001415889-24-029406 · form4-12162024_091201.xml · derivative · entry 3

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2026-06-02

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 granted on June 2, 2016 and was previously covering 50,000 shares at an exercise price of $3.12 per share, but was adjusted to reflect a 1-for-10 reverse split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

F4 · derivative.exercise_date: Shares vested 1/48th on the first day of each month commencing July 1, 2016.

F3 · derivative.underlying_shares: This option was granted on June 2, 2016 and was previously covering 50,000 shares at an exercise price of $3.12 per share, but was adjusted to reflect a 1-for-10 reverse split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

Read SEC document
December 13, 2024 Filed Dec 16, 2024 14:25 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Exercise / conversionStock Option (Right to Buy) · Derivative 3,000 $0.00 Strike: $1.39 $0.00
Disclosure

SEC source: 0001415889-24-029406 · form4-12162024_091201.xml · derivative · entry 2

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,000 shares

Expires 2025-03-03

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 · derivative.exercise_price: This option was granted on March 3, 2015 and was previously covering 30,000 shares at an exercise price of $5.78 per share, but was adjusted to reflect a 1-for-10 reverse split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

F2 · derivative.exercise_date: Shares vested 1/48th on the first day of each month commencing April 1, 2015.

F1 · derivative.underlying_shares: This option was granted on March 3, 2015 and was previously covering 30,000 shares at an exercise price of $5.78 per share, but was adjusted to reflect a 1-for-10 reverse split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

Read SEC document
December 13, 2024 Filed Dec 16, 2024 14:25 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Exercise / conversionCommon Stock 8,000 $1.39 $11,120.00
Disclosure

SEC source: 0001415889-24-029406 · form4-12162024_091201.xml · nonDerivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,047

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
January 02, 2024 Filed Jan 4, 2024 22:15 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 GrantStock Option (Right to Buy) · Derivative 7,140 $0.00 Strike: $5.12 $0.00
Disclosure

SEC source: 0001415889-24-000649 · form4-01042024_050104.xml · derivative · entry 2

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,140

Underlying: Common Stock · 7,140 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.

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 80,000 $0.00 Strike: $5.12 $0.00
Disclosure

SEC source: 0001415889-24-000649 · form4-01042024_050104.xml · derivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2034-01-02

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2024, 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
January 03, 2023 Filed Jan 6, 2023 01:00 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 GrantStock Option (Right to Buy) · Derivative 11,878 $0.00 Strike: $3.85 $0.00
Disclosure

SEC source: 0001415889-23-000590 · form4-01052023_080107.xml · derivative · entry 2

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,878

Underlying: Common Stock · 11,878 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.

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January 03, 2023 Filed Jan 6, 2023 01:00 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 GrantStock Option (Right to Buy) · Derivative 80,000 $0.00 Strike: $3.85 $0.00
Disclosure

SEC source: 0001415889-23-000590 · form4-01052023_080107.xml · derivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2033-01-03

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2023, 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.

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November 03, 2022 Filed Nov 4, 2022 13:25 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Exercise / conversionStock Option (Right to Buy) · Derivative 18,932 $0.00 Strike: $1.39 $0.00
Disclosure

SEC source: 0001415889-22-011079 · form4-11042022_091102.xml · derivative · entry 2

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,932 shares

Expires 2022-11-13

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 · derivative.exercise_price: This option was granted on November 13, 2012 and was previously reported as covering 189,320 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.

F2 · derivative.exercise_date: 25% of the shares vested immediately, with the remainder vesting 1/36th on the first day of each month commencing December 1, 2012.

F1 · derivative.underlying_shares: This option was granted on November 13, 2012 and was previously reported as covering 189,320 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.

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November 03, 2022 Filed Nov 4, 2022 13:25 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Exercise / conversionCommon Stock 18,932 $1.39 $26,315.48
Disclosure

SEC source: 0001415889-22-011079 · form4-11042022_091102.xml · nonDerivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,047

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.

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January 03, 2022 Filed Jan 5, 2022 02:00 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 GrantStock Option (Right to Buy) · Derivative 84,080 $0.00 Strike: $3.18 $0.00
Disclosure

SEC source: 0001415889-22-000275 · form4-01042022_090112.xml · derivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,080

Underlying: Common Stock · 84,080 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.

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January 04, 2021 Filed Jan 6, 2021 22:04 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 GrantStock Option (Right to Buy) · Derivative 95,693 $0.00 Strike: $3.74 $0.00
Disclosure

SEC source: 0001104659-21-001590 · tm211849-6_4seq1.xml · derivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,693

Underlying: Common Stock · 95,693 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.

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June 05, 2020 Filed Jun 9, 2020 20:34 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 GrantStock Option (Right to Buy) · Derivative 104,908 $0.00 Strike: $1.39 $0.00
Disclosure

SEC source: 0001104659-20-071421 · tm2022128-6_4.xml · derivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,908

Underlying: Common Stock · 104,908 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.

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February 12, 2020 Filed Feb 14, 2020 23:08 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Disposition to issuerStock Option (Right to Buy) · Derivative 18,932 Not disclosed Strike: $3.70 Not disclosed
Disclosure

SEC source: 0001104659-20-022103 · tm208086d6_4.xml · derivative · entry 12

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,932 shares

Expires 2022-11-13

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.

F6 · derivative.exercise_date: The stock option award is fully vested and exercisable.

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February 12, 2020 Filed Feb 14, 2020 23:08 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Disposition to issuerStock Option (Right to Buy) · Derivative 3,000 Not disclosed Strike: $57.80 Not disclosed
Disclosure

SEC source: 0001104659-20-022103 · tm208086d6_4.xml · derivative · entry 11

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,000 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.

F6 · derivative.exercise_date: The stock option award is fully vested and exercisable.

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February 12, 2020 Filed Feb 14, 2020 23:08 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Disposition to issuerStock Option (Right to Buy) · Derivative 5,000 Not disclosed Strike: $31.20 Not disclosed
Disclosure

SEC source: 0001104659-20-022103 · tm208086d6_4.xml · derivative · entry 10

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 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 shares will vest 1/48th on the first day of each month, commencing July 1, 2016, 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.

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February 12, 2020 Filed Feb 14, 2020 23:08 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Disposition to issuerStock Option (Right to Buy) · Derivative 2,500 Not disclosed Strike: $25.50 Not disclosed
Disclosure

SEC source: 0001104659-20-022103 · tm208086d6_4.xml · derivative · entry 9

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,500 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: 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 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.

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February 12, 2020 Filed Feb 14, 2020 23:08 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Disposition to issuerStock Option (Right to Buy) · Derivative 3,500 Not disclosed Strike: $15.70 Not disclosed
Disclosure

SEC source: 0001104659-20-022103 · tm208086d6_4.xml · derivative · entry 8

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,500 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: 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 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.

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February 12, 2020 Filed Feb 14, 2020 23:08 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 Disposition to issuerStock Option (Right to Buy) · Derivative 14,000 Not disclosed Strike: $3.25 Not disclosed
Disclosure

SEC source: 0001104659-20-022103 · tm208086d6_4.xml · derivative · entry 7

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,000 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: 4,666 of the shares were vested on the date of grant. The remaining 9,334 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.

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February 12, 2020 Filed Feb 14, 2020 23:08 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 GrantStock Option (Right to Buy) · Derivative 18,932 Not disclosed Strike: $1.39 Not disclosed
Disclosure

SEC source: 0001104659-20-022103 · tm208086d6_4.xml · derivative · entry 6

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,932

Underlying: Common Stock · 18,932 shares

Expires 2022-11-13

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.

F6 · derivative.exercise_date: The stock option award is fully vested and exercisable.

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February 12, 2020 Filed Feb 14, 2020 23:08 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 GrantStock Option (Right to Buy) · Derivative 3,000 Not disclosed Strike: $1.39 Not disclosed
Disclosure

SEC source: 0001104659-20-022103 · tm208086d6_4.xml · derivative · entry 5

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 3,000 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.

F6 · derivative.exercise_date: The stock option award is fully vested and exercisable.

Read SEC document
February 12, 2020 Filed Feb 14, 2020 23:08 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 GrantStock Option (Right to Buy) · Derivative 5,000 Not disclosed Strike: $1.39 Not disclosed
Disclosure

SEC source: 0001104659-20-022103 · tm208086d6_4.xml · derivative · entry 4

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 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 shares will vest 1/48th on the first day of each month, commencing July 1, 2016, 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.

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February 12, 2020 Filed Feb 14, 2020 23:08 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 GrantStock Option (Right to Buy) · Derivative 2,500 Not disclosed Strike: $1.39 Not disclosed
Disclosure

SEC source: 0001104659-20-022103 · tm208086d6_4.xml · derivative · entry 3

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 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: 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 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.

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February 12, 2020 Filed Feb 14, 2020 23:08 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 GrantStock Option (Right to Buy) · Derivative 3,500 Not disclosed Strike: $1.39 Not disclosed
Disclosure

SEC source: 0001104659-20-022103 · tm208086d6_4.xml · derivative · entry 2

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,500

Underlying: Common Stock · 3,500 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: 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 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.

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February 12, 2020 Filed Feb 14, 2020 23:08 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 GrantStock Option (Right to Buy) · Derivative 14,000 Not disclosed Strike: $1.39 Not disclosed
Disclosure

SEC source: 0001104659-20-022103 · tm208086d6_4.xml · derivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 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: 4,666 of the shares were vested on the date of grant. The remaining 9,334 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.

Read SEC document
August 08, 2019 Filed Aug 10, 2019 01:00 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 GrantStock Option (right to buy) · Derivative 14,000 $0.00 Strike: $3.25 $0.00
Disclosure

SEC source: 0001144204-19-038995 · tv527326_form4.xml · derivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2029-08-08

F1 · derivative.exercise_date: 4,666 of the shares shall vest immediately. The remaining 9,334 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.

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January 02, 2018 Filed Jan 4, 2018 22:03 UTC CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $1.57 $0.00
Disclosure

SEC source: 0001144204-18-000862 · tv482719_4.xml · derivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 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

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.