Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CAPRICOR THERAPEUTICS, INC.CAPR · Entity 5337 | Director · CHIEF EXECUTIVE OFFICER | 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.
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 | 50,000 |
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 50,000 · Balance 50,000 F1: 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $24.81 · Expires 2027-01-05 | Direct | 100,000 |
Reported balance
After 2026-01-05 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-01-05 · Grant · Acquired 100,000 · Balance 100,000 F2: 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. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 7,500 |
Reported balance
After 2026-01-05 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-01-05 · Grant · Acquired 7,500 · Balance 7,500 F3: Each restricted stock unit represents the right to receive, upon vesting, one share of the Issuer's common stock in accordance with the Issuer's 2025 Equity Incentive Plan. F4: The restricted stock units were granted on January 5, 2026 as part of the Issuer's annual equity grant to executive officers. The restricted stock units granted on January 5, 2026 vest annually at a rate of 25% commencing on February 1, 2027. Vesting is subject to the Reporting Person's continued service to the Issuer through the vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: 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.
F3: Each restricted stock unit represents the right to receive, upon vesting, one share of the Issuer's common stock in accordance with the Issuer's 2025 Equity Incentive Plan.
F4: The restricted stock units were granted on January 5, 2026 as part of the Issuer's annual equity grant to executive officers. The restricted stock units granted on January 5, 2026 vest annually at a rate of 25% commencing on February 1, 2027. Vesting is subject to the Reporting Person's continued service to the Issuer through the vesting date.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 05, 2026 Filed Jan 7, 2026 21:45 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantRestricted Stock Units · Derivative | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001593084-26-000002 · form4-01072026_040125.xml · derivative · entry 3 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents the right to receive, upon vesting, one share of the Issuer's common stock in accordance with the Issuer's 2025 Equity Incentive Plan. F4 · derivative.exercise_date: The restricted stock units were granted on January 5, 2026 as part of the Issuer's annual equity grant to executive officers. The restricted stock units granted on January 5, 2026 vest annually at a rate of 25% commencing on February 1, 2027. Vesting is subject to the Reporting Person's continued service to the Issuer through the vesting date. F4 · derivative.expiration_date: The restricted stock units were granted on January 5, 2026 as part of the Issuer's annual equity grant to executive officers. The restricted stock units granted on January 5, 2026 vest annually at a rate of 25% commencing on February 1, 2027. 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 | 100,000 | $0.00 Strike: $24.81 | $0.00 |
DisclosureSEC source: 0001593084-26-000002 · form4-01072026_040125.xml · derivative · entry 2 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 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 | 50,000 | $0.00 Strike: $24.81 | $0.00 |
DisclosureSEC source: 0001593084-26-000002 · form4-01072026_040125.xml · derivative · entry 1 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 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 |
| March 05, 2025 Filed Mar 5, 2025 22:00 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | OtherCommon Stock | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-25-006986 · form4-03052025_050301.xml · nonDerivative · entry 2 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 211,104 F1 · kind: Transferred to reporting person's ex-spouse pursuant to settlement in divorce proceeding. Read SEC document |
| March 03, 2025 Filed Mar 5, 2025 22:00 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | Exercise / conversionStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $1.39 | $0.00 |
DisclosureSEC source: 0001415889-25-006986 · form4-03052025_050301.xml · derivative · entry 3 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 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. F2 · derivative.exercise_price: This option was granted on March 3, 2015 and was previously covering 250,000 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. F3 · derivative.exercise_date: Shares vested 1/48th on the first day of each month commencing April 1, 2015. F2 · derivative.underlying_shares: This option was granted on March 3, 2015 and was previously covering 250,000 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 |
| March 03, 2025 Filed Mar 5, 2025 22:00 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | Exercise / conversionCommon Stock | 25,000 | $1.39 | $34,750.00 |
DisclosureSEC source: 0001415889-25-006986 · form4-03052025_050301.xml · nonDerivative · entry 1 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 223,604 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 | 34,962 | $0.00 Strike: $14.96 | $0.00 |
DisclosureSEC source: 0001415889-25-000874 · form4-01062025_070118.xml · derivative · entry 2 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 34,962 Underlying: Common Stock · 34,962 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. 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 | 210,000 | $0.00 Strike: $14.96 | $0.00 |
DisclosureSEC source: 0001415889-25-000874 · form4-01062025_070118.xml · derivative · entry 1 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 210,000 Underlying: Common Stock · 210,000 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 |
| January 02, 2024 Filed Jan 4, 2024 22:15 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 9,633 | $0.00 Strike: $5.12 | $0.00 |
DisclosureSEC source: 0001415889-24-000650 · form4-01042024_050106.xml · derivative · entry 2 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,633 Underlying: Common Stock · 9,633 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 | 250,000 | $0.00 Strike: $5.12 | $0.00 |
DisclosureSEC source: 0001415889-24-000650 · form4-01042024_050106.xml · derivative · entry 1 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 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 |
| May 12, 2023 Filed May 16, 2023 23:00 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | Exercise / conversionStock Option (Right to Buy) · Derivative | 41,497 | $0.00 Strike: $1.39 | $0.00 |
DisclosureSEC source: 0001415889-23-008130 · form4-05162023_070501.xml · derivative · entry 2 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 0 shares Expires 2023-05-14 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: Half of the shares of Common Stock acquired upon exercise of this option were delivered to the Reporting Person's ex-spouse pursuant to a domestic relations order, which transaction is exempt from Section 16 pursuant to Rule 16a-12 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Person no longer reports as beneficially owned any securities owned by her ex-spouse. F3 · derivative.exercise_date: The stock option award is fully vested and exercisable. Read SEC document |
| May 12, 2023 Filed May 16, 2023 23:00 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | Exercise / conversionCommon Stock | 20,749 | $1.39 | $28,841.11 |
DisclosureSEC source: 0001415889-23-008130 · form4-05162023_070501.xml · nonDerivative · entry 1 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 198,604 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: Half of the shares of Common Stock acquired upon exercise of this option were delivered to the Reporting Person's ex-spouse pursuant to a domestic relations order, which transaction is exempt from Section 16 pursuant to Rule 16a-12 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Person no longer reports as beneficially owned any securities owned by her ex-spouse. F2 · balance_after: This figure reflects the acquisition of 132,060 shares of Common Stock from the Reporting Person's ex-spouse pursuant to a domestic relations order, which acquisition is exempt from Section 16 pursuant to Rule 16a-12 under the Exchange Act. The Reporting Person no longer reports as beneficially owned any securities owned by her ex-spouse. 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 | 135,000 | $0.00 Strike: $3.85 | $0.00 |
DisclosureSEC source: 0001415889-23-000591 · form4-01052023_080115.xml · derivative · entry 1 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,000 Underlying: Common Stock · 135,000 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. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 02:00 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 377,830 | $0.00 Strike: $3.18 | $0.00 |
DisclosureSEC source: 0001415889-22-000274 · form4-01042022_090105.xml · derivative · entry 1 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 377,830 Underlying: Common Stock · 377,830 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. Read SEC document |
| January 04, 2021 Filed Jan 6, 2021 22:04 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 458,693 | $0.00 Strike: $3.74 | $0.00 |
DisclosureSEC source: 0001104659-21-001595 · tm211849-8_4seq1.xml · derivative · entry 1 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 458,693 Underlying: Common Stock · 458,693 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. Read SEC document |
| July 27, 2020 Filed Jul 29, 2020 22:39 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | Exercise / conversionStock Option (Right to Buy) · Derivative | 41,497 | $0.00 Strike: $3.70 | $0.00 |
DisclosureSEC source: 0001104659-20-087909 · tm2025987d1_4.xml · derivative · entry 4 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 41,497 shares Expires 2020-09-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: This option was previously reported as covering 414,971 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. F5 · derivative.exercise_date: 25% of the shares of common stock subject to this option vested immediately. 20% of the remaining shares of common stock subject to this option vested on each of September 1, 2011, September 1, 2012, September 1, 2013, January 1, 2014, and January 1, 2015. F4 · derivative.underlying_shares: This option was previously reported as covering 414,971 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. Read SEC document |
| July 27, 2020 Filed Jul 29, 2020 22:39 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | Tax withholdingCommon Stock | 15,652 | $9.81 | $153,546.12 |
DisclosureSEC source: 0001104659-20-087909 · tm2025987d1_4.xml · nonDerivative · entry 2 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,715 F2 · kind: Represents a "net exercise" of outstanding stock options. These shares were withheld by the Issuer for payment of the exercise price, based on the closing market price of the Issuer's common stock on July 27, 2020 of $9.81. The options would otherwise expire on September 1, 2020, pursuant to their terms. F2 · price: Represents a "net exercise" of outstanding stock options. These shares were withheld by the Issuer for payment of the exercise price, based on the closing market price of the Issuer's common stock on July 27, 2020 of $9.81. The options would otherwise expire on September 1, 2020, pursuant to their terms. F1 · ownership.direct: 920 shares of the Issuer's common stock are held by the Reporting Person in joint tenancy with her spouse. Read SEC document |
| July 27, 2020 Filed Jul 29, 2020 22:39 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | Exercise / conversionCommon Stock | 41,497 | $3.70 | $153,538.90 |
DisclosureSEC source: 0001104659-20-087909 · tm2025987d1_4.xml · nonDerivative · entry 1 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,367 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 · ownership.direct: 920 shares of the Issuer's common stock are held by the Reporting Person in joint tenancy with her spouse. Read SEC document |
| June 05, 2020 Filed Jun 9, 2020 20:35 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 368,449 | $0.00 Strike: $1.39 | $0.00 |
DisclosureSEC source: 0001104659-20-071426 · tm2022128-8_4.xml · derivative · entry 1 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 368,449 Underlying: Common Stock · 368,449 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. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 23:08 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | Disposition to issuerStock Option (Right to Buy) · Derivative | 41,497 | Not disclosed Strike: $3.00 | Not disclosed |
DisclosureSEC source: 0001104659-20-022105 · tm208086d8_4.xml · derivative · entry 10 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 41,497 shares Expires 2023-05-14 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. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 23:08 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | Disposition to issuerStock Option (Right to Buy) · Derivative | 25,000 | Not disclosed Strike: $57.80 | Not disclosed |
DisclosureSEC source: 0001104659-20-022105 · tm208086d8_4.xml · derivative · entry 9 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 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. F5 · 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 | Disposition to issuerStock Option (Right to Buy) · Derivative | 19,999 | Not disclosed Strike: $25.50 | Not disclosed |
DisclosureSEC source: 0001104659-20-022105 · tm208086d8_4.xml · derivative · entry 8 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 19,999 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. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 23:08 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | Disposition to issuerStock Option (Right to Buy) · Derivative | 9,998 | Not disclosed Strike: $15.70 | Not disclosed |
DisclosureSEC source: 0001104659-20-022105 · tm208086d8_4.xml · derivative · entry 7 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,998 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: 6,647 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 3,351 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. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 23:08 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | Disposition to issuerStock Option (Right to Buy) · Derivative | 25,000 | Not disclosed Strike: $3.25 | Not disclosed |
DisclosureSEC source: 0001104659-20-022105 · tm208086d8_4.xml · derivative · entry 6 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 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: 5,000 of the shares were vested on the date of grant. The remaining 20,000 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 |
| February 12, 2020 Filed Feb 14, 2020 23:08 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 41,497 | Not disclosed Strike: $1.39 | Not disclosed |
DisclosureSEC source: 0001104659-20-022105 · tm208086d8_4.xml · derivative · entry 5 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,497 Underlying: Common Stock · 41,497 shares Expires 2023-05-14 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. 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 | 25,000 | Not disclosed Strike: $1.39 | Not disclosed |
DisclosureSEC source: 0001104659-20-022105 · tm208086d8_4.xml · derivative · entry 4 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 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. F5 · 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 | 19,999 | Not disclosed Strike: $1.39 | Not disclosed |
DisclosureSEC source: 0001104659-20-022105 · tm208086d8_4.xml · derivative · entry 3 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,999 Underlying: Common Stock · 19,999 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. 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 | 9,998 | Not disclosed Strike: $1.39 | Not disclosed |
DisclosureSEC source: 0001104659-20-022105 · tm208086d8_4.xml · derivative · entry 2 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,998 Underlying: Common Stock · 9,998 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: 6,647 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 3,351 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. 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 | 25,000 | Not disclosed Strike: $1.39 | Not disclosed |
DisclosureSEC source: 0001104659-20-022105 · tm208086d8_4.xml · derivative · entry 1 Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 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: 5,000 of the shares were vested on the date of grant. The remaining 20,000 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 | 25,000 | $0.00 Strike: $3.25 | $0.00 |
DisclosureSEC source: 0001144204-19-038997 · tv527328_form4.xml · derivative · entry 1 Marban Linda · CIK 0001593084 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2029-08-08 F1 · derivative.exercise_date: 5,000 of the shares shall vest immediately. The remaining 20,000 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. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 22:04 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $1.57 | $0.00 |
DisclosureSEC source: 0001144204-18-000864 · tv482721_4.xml · derivative · entry 1 Marban Linda · CIK 0001593084 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2028-01-02 F1 · derivative.exercise_date: 66,488 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 33,512 shares will vest 1/12 on the first day of each month, commencing February 1, 2018, with the last month vesting on December 31, 2018. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting. Read SEC document |
| January 03, 2017 Filed Jan 5, 2017 02:45 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (right to buy) · Derivative | 200,000 | $0.00 Strike: $2.55 | $0.00 |
DisclosureSEC source: 0001144204-17-000707 · v456183_4.xml · derivative · entry 1 Marban Linda · CIK 0001593084 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2027-01-03 F1 · derivative.exercise_date: 1/48th of the shares subject to the stock option award shall vest on the first day of each month, commencing February 1, 2017, until the stock option becomes fully vested and exercisable. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting. Read SEC document |
| October 25, 2016 Filed Feb 7, 2017 00:01 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GiftCommon Stock | 65,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-17-006278 · v458421_5.xml · nonDerivative · entry 1 Marban Linda · CIK 0001593084 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 208,709 Read SEC document |
| March 16, 2016 Filed Feb 7, 2017 00:01 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | PurchaseWarrants (Right to Buy) · Derivative | 5,076 | $0.13 Strike: $4.50 | $634.50 |
DisclosureSEC source: 0001144204-17-006278 · v458421_5.xml · derivative · entry 4 Marban Linda · CIK 0001593084 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,076 Underlying: Common Stock · 5,076 shares Expires 2019-03-16 F1 · kind: The Reporting Person entered into a Subscription Agreement with Capricor Therapeutics, Inc. (the "Issuer") pursuant to which the Reporting Person, on March 16, 2016, purchased (i) 10,152 shares of the Issuer's common stock at a purchase price of $2.40 per share, and (ii) warrants to purchase up to an aggregate of 5,076 shares of the Issuer's common stock at a purchase price of $0.125 per share issuable upon exercise of the warrants, for an aggregate purchase price of approximately $25,000. Read SEC document |
| March 16, 2016 Filed Feb 7, 2017 00:01 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | PurchaseCommon Stock | 10,152 | $2.40 | $24,364.80 |
DisclosureSEC source: 0001144204-17-006278 · v458421_5.xml · nonDerivative · entry 2 Marban Linda · CIK 0001593084 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 208,709 F1 · kind: The Reporting Person entered into a Subscription Agreement with Capricor Therapeutics, Inc. (the "Issuer") pursuant to which the Reporting Person, on March 16, 2016, purchased (i) 10,152 shares of the Issuer's common stock at a purchase price of $2.40 per share, and (ii) warrants to purchase up to an aggregate of 5,076 shares of the Issuer's common stock at a purchase price of $0.125 per share issuable upon exercise of the warrants, for an aggregate purchase price of approximately $25,000. 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.