Musket David B

SEC source: 0001310611-26-000002 · form4-01072026_040111.xml · derivative · entry 1

Musket David B · CIK 0001310611 · 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.

SEC source: 0001415889-25-000870 · form4-01062025_070109.xml · derivative · entry 3

Musket David B · CIK 0001310611 · 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.

SEC source: 0001415889-25-000870 · form4-01062025_070109.xml · derivative · entry 2

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,480

Underlying: Common Stock · 6,480 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.

SEC source: 0001415889-25-000870 · form4-01062025_070109.xml · derivative · entry 1

Musket David B · CIK 0001310611 · 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.

SEC source: 0001415889-24-021022 · form4-08092024_090802.xml · derivative · entry 3

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 34,000 shares

Expires 2030-06-05

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_date: The shares vested 1/48th of the first day of each month, commencing March 1, 2020.

SEC source: 0001415889-24-021022 · form4-08092024_090802.xml · nonDerivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,692

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: 0001415889-24-011416 · form4-04242024_010401.xml · derivative · entry 8

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,750 shares

Expires 2029-08-08

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.

F9 · derivative.exercise_price: This option was granted on August 8, 2019 and was previously reported with an exercise price of $3.25 per share, but was adjusted to reflect a share reprice to $1.39 per share that occurred on February 12, 2020.

F10 · derivative.exercise_date: The shares vested 1/48th of the first day of each month, commencing September 1, 2019.

SEC source: 0001415889-24-011416 · form4-04242024_010401.xml · derivative · entry 7

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,000 shares

Expires 2029-08-08

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.

F9 · derivative.exercise_price: This option was granted on August 8, 2019 and was previously reported with an exercise price of $3.25 per share, but was adjusted to reflect a share reprice to $1.39 per share that occurred on February 12, 2020.

SEC source: 0001415889-24-011416 · form4-04242024_010401.xml · derivative · entry 6

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,750 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.

F7 · derivative.exercise_price: This option was granted on January 2, 2018 and was previously reported as covering 27,500 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 to $1.39 per share that occurred on February 12, 2020.

F8 · derivative.exercise_date: The shares vested 1/12th of the first day of each month, commencing February 1, 2018 with the last 1/12th vesting on December 31, 2018.

SEC source: 0001415889-24-011416 · form4-04242024_010401.xml · derivative · entry 5

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,050 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.

F5 · derivative.exercise_price: This option was granted on January 2, 2018 and was previously reported as covering 10,500 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 to $1.39 per share that occurred on February 12, 2020.

F6 · derivative.exercise_date: The shares vested 1/48th of the first day of each month, commencing February 1, 2018.

SEC source: 0001415889-24-011416 · form4-04242024_010401.xml · derivative · entry 4

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,750 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.

F3 · derivative.exercise_price: This option was granted on January 3, 2017 and was previously reported as covering 27,500 shares at an exercise price of $2.55 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.

F4 · derivative.exercise_date: The shares vested 1/12th of the first day of each month, commencing February 1, 2017 with the last 1/12th vesting on December 31, 2017.

SEC source: 0001415889-24-011416 · form4-04242024_010401.xml · derivative · entry 3

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 856 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 · derivative.exercise_price: This option was granted on January 3, 2017 and was previously reported as covering 8,560 shares at an exercise price of $2.55 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: The shares vested 1/48th of 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 reported as covering 8,560 shares at an exercise price of $2.55 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: 0001415889-24-011416 · form4-04242024_010401.xml · nonDerivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,692

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: 0001415889-24-000654 · form4-01042024_050114.xml · derivative · entry 3

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,280

Underlying: Common Stock · 14,280 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.

SEC source: 0001415889-24-000654 · form4-01042024_050114.xml · derivative · entry 2

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,170

Underlying: Common Stock · 15,170 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.

SEC source: 0001415889-24-000654 · form4-01042024_050114.xml · derivative · entry 1

Musket David B · CIK 0001310611 · 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.

SEC source: 0001415889-23-014199 · form4-10132023_051051.xml · nonDerivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,536

SEC source: 0001415889-23-014082 · form4-10112023_091002.xml · nonDerivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,126

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.75 to $2.85, inclusive. The reporting person undertakes to provide to Capricor Therapeutics, Inc., any security holder of Capricor Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001415889-23-014031 · form4-10062023_091001.xml · nonDerivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,043

SEC source: 0001415889-23-000596 · form4-01052023_080154.xml · derivative · entry 3

Musket David B · CIK 0001310611 · 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: 0001415889-23-000596 · form4-01052023_080154.xml · derivative · entry 2

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,620

Underlying: Common Stock · 16,620 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: 0001415889-23-000596 · form4-01052023_080154.xml · derivative · entry 1

Musket David B · CIK 0001310611 · 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: 0001415889-22-007219 · form4-07012022_090701.xml · derivative · entry 6

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,645 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.

F5 · derivative.exercise_price: This option was granted on June 2, 2016 and was previously reported as covering 46,458 shares at an exercise price of $3.12 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.

F6 · derivative.exercise_date: 2,250 shares vested immediately on June 2, 2016. The remaining shares vested on December 31, 2016.

F5 · derivative.underlying_shares: This option was granted on June 2, 2016 and was previously reported as covering 46,458 shares at an exercise price of $3.12 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: 0001415889-22-007219 · form4-07012022_090701.xml · derivative · entry 5

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,750 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.

F4 · derivative.exercise_price: This option was granted on March 3, 2015 and was previously reported as covering 47,500 shares at an exercise price of $5.78 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.

F4 · derivative.underlying_shares: This option was granted on March 3, 2015 and was previously reported as covering 47,500 shares at an exercise price of $5.78 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: 0001415889-22-007219 · form4-07012022_090701.xml · derivative · entry 4

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,401 shares

Expires 2023-02-22

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 of common stock vested immediately, with the remainder vesting 1/36th of the first day of each month, 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: 0001415889-22-007219 · form4-07012022_090701.xml · nonDerivative · entry 2

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,543

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: 0001415889-22-007219 · form4-07012022_090701.xml · nonDerivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,747

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.76 to $3.80, inclusive. The reporting person undertakes to provide to Capricor Therapeutics, Inc., any security holder of Capricor Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001415889-22-007064 · form4-06292022_090601.xml · nonDerivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,962

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to partially cover tax obligations in connection to stock holdings.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.41 to $4.46, inclusive. The reporting person undertakes to provide to Capricor Therapeutics, Inc., any security holder of Capricor Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001415889-22-000281 · form4-01042022_090140.xml · derivative · entry 1

Musket David B · CIK 0001310611 · Director

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.

SEC source: 0001415889-21-006268 · form4-12292021_091205.xml · derivative · entry 5

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,391 shares

Expires 2024-12-17

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: 0001415889-21-006268 · form4-12292021_091205.xml · derivative · entry 4

Musket David B · CIK 0001310611 · 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.

F1 · 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.

F2 · derivative.exercise_date: The shares vested 1/48th of the first day of each month, commencing May 1, 2012.

F1 · 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: 0001415889-21-006268 · form4-12292021_091205.xml · nonDerivative · entry 2

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,737

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: 0001415889-21-006268 · form4-12292021_091205.xml · nonDerivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,346

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: 0001104659-21-001583 · tm211849-2_4seq1.xml · derivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,126

Underlying: Common Stock · 96,126 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: 0001104659-20-071415 · tm2022128-2_4.xml · derivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,000

Underlying: Common Stock · 109,000 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: 0001104659-20-022099 · tm208086d2_4.xml · derivative · entry 14

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,455 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: 0001104659-20-022099 · tm208086d2_4.xml · derivative · entry 13

Musket David B · CIK 0001310611 · 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: 0001104659-20-022099 · tm208086d2_4.xml · derivative · entry 12

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,750 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: 0001104659-20-022099 · tm208086d2_4.xml · derivative · entry 11

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,645 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: 0001104659-20-022099 · tm208086d2_4.xml · derivative · entry 10

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,606 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 2,750 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: 0001104659-20-022099 · tm208086d2_4.xml · derivative · entry 9

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,800 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 2,750 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: 0001104659-20-022099 · tm208086d2_4.xml · derivative · entry 8

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,750 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 5,750 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: 0001104659-20-022099 · tm208086d2_4.xml · derivative · entry 7

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,455

Underlying: Common Stock · 15,455 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.

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 2,750 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: 0001104659-20-022099 · tm208086d2_4.xml · derivative · entry 6

Musket David B · CIK 0001310611 · 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: 0001104659-20-022099 · tm208086d2_4.xml · derivative · entry 5

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,750

Underlying: Common Stock · 4,750 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: 0001104659-20-022099 · tm208086d2_4.xml · derivative · entry 4

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,645

Underlying: Common Stock · 4,645 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: 0001104659-20-022099 · tm208086d2_4.xml · derivative · entry 3

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,606

Underlying: Common Stock · 3,606 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 2,750 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: 0001104659-20-022099 · tm208086d2_4.xml · derivative · entry 2

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,800

Underlying: Common Stock · 3,800 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 2,750 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: 0001104659-20-022099 · tm208086d2_4.xml · derivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,750

Underlying: Common Stock · 8,750 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 5,750 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: 0001104659-19-074514 · tm1926719d2_4.xml · derivative · entry 3

Musket David B · CIK 0001310611 · 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.