4//SEC Filing
Bergmann Anthony 4
Accession 0001104659-20-022098
CIK 0001133869other
Filed
Feb 13, 7:00 PM ET
Accepted
Feb 14, 6:08 PM ET
Size
31.8 KB
Accession
0001104659-20-022098
Insider Transaction Report
Form 4
Bergmann Anthony
CHIEF FINANCIAL OFFICER
Transactions
- Award
Stock Option (Right to Buy)
2020-02-12+14,000→ 14,000 totalExercise: $1.39Exp: 2029-08-08→ Common Stock (14,000 underlying) - Award
Stock Option (Right to Buy)
2020-02-12+5,000→ 5,000 totalExercise: $1.39Exp: 2028-01-02→ Common Stock (5,000 underlying) - Award
Stock Option (Right to Buy)
2020-02-12+3,500→ 3,500 totalExercise: $1.39Exp: 2027-01-03→ Common Stock (3,500 underlying) - Award
Stock Option (Right to Buy)
2020-02-12+3,000→ 3,000 totalExercise: $1.39Exp: 2026-06-02→ Common Stock (3,000 underlying) - Award
Stock Option (Right to Buy)
2020-02-12+2,500→ 2,500 totalExercise: $1.39Exp: 2025-03-03→ Common Stock (2,500 underlying) - Award
Stock Option (Right to Buy)
2020-02-12+2,178→ 2,178 totalExercise: $1.39Exp: 2023-10-23→ Common Stock (2,178 underlying) - Disposition to Issuer
Stock Option (Right to Buy)
2020-02-12−14,000→ 0 totalExercise: $3.25Exp: 2029-08-08→ Common Stock (14,000 underlying) - Disposition to Issuer
Stock Option (Right to Buy)
2020-02-12−5,000→ 0 totalExercise: $15.70Exp: 2028-01-02→ Common Stock (5,000 underlying) - Disposition to Issuer
Stock Option (Right to Buy)
2020-02-12−3,500→ 0 totalExercise: $25.50Exp: 2027-01-03→ Common Stock (3,500 underlying) - Disposition to Issuer
Stock Option (Right to Buy)
2020-02-12−3,000→ 0 totalExercise: $31.20Exp: 2026-06-02→ Common Stock (3,000 underlying) - Disposition to Issuer
Stock Option (Right to Buy)
2020-02-12−2,500→ 0 totalExercise: $57.80Exp: 2025-03-03→ Common Stock (2,500 underlying) - Disposition to Issuer
Stock Option (Right to Buy)
2020-02-12−2,178→ 0 totalExercise: $3.00Exp: 2023-10-23→ Common Stock (2,178 underlying)
Footnotes (6)
- [F1]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.
- [F2]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]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.
- [F4]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.
- [F5]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.
- [F6]The stock option award is fully vested and exercisable.
Documents
Issuer
CAPRICOR THERAPEUTICS, INC.
CIK 0001133869
Entity typeother
Related Parties
1- filerCIK 0001593087
Filing Metadata
- Form type
- 4
- Filed
- Feb 13, 7:00 PM ET
- Accepted
- Feb 14, 6:08 PM ET
- Size
- 31.8 KB