4//SEC Filing
Manzo Louis 4
Accession 0001104659-20-109138
CIK 0001133869other
Filed
Sep 27, 8:00 PM ET
Accepted
Sep 28, 8:30 AM ET
Size
9.2 KB
Accession
0001104659-20-109138
Insider Transaction Report
Form 4
Manzo Louis
Director
Transactions
- Exercise/Conversion
Common Stock
2020-09-24$3.70/sh+8,299$30,706→ 44,603 total - Exercise/Conversion
Stock Option (Right to Buy)
2020-09-24−8,299→ 0 totalExercise: $3.70Exp: 2020-09-25→ Common Stock (8,299 underlying)
Holdings
- 63,815(indirect: By Coniston Corporation)
Common Stock
Footnotes (4)
- [F1]On September 24, 2020, the Reporting Person exercised stock options for 8,299 shares of Common Stock. The exercise price of $3.70 per share and the exercise was subject to the terms and conditions of a Stock Option Award which was granted on September 25, 2010 under the Issuer's 2006 Stock Option Plan.
- [F2]63,815 shares of common stock of the Issuer are beneficially owned by Coniston Corporation. The equity securities of Coniston Corporation are held by the Reporting Person and irrevocable trusts for the benefit of the children of the Reporting Person of which the Reporting Person is not the trustee. The Reporting Person has sole voting power over Coniston Corporation and therefore may be deemed to have sole voting and dispositive power with respect to all securities of the Issuer beneficially owned by Coniston Corporation.
- [F3]This option was previously reported as covering 82,994 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.
- [F4]4,409 of the shares of common stock subject to this option vested immediately. 778 of the shares of common stock subject to this option vested on each of October 31, 2010, January 31, 2011, April 30, 2011, July 31, 2011, and October 31, 2011.
Documents
Issuer
CAPRICOR THERAPEUTICS, INC.
CIK 0001133869
Entity typeother
Related Parties
1- filerCIK 0001593100
Filing Metadata
- Form type
- 4
- Filed
- Sep 27, 8:00 PM ET
- Accepted
- Sep 28, 8:30 AM ET
- Size
- 9.2 KB