4//SEC Filing
Avat Xavier 4
Accession 0001415889-23-006365
CIK 0001133869other
Filed
Apr 6, 8:00 PM ET
Accepted
Apr 7, 5:00 PM ET
Size
10.7 KB
Accession
0001415889-23-006365
Insider Transaction Report
Form 4
Avat Xavier
CHIEF BUSINESS OFFICER
Transactions
- Tax Payment
Common Stock
2023-04-05$4.19/sh−70,019$293,380→ 14,772 total - Exercise/Conversion
Stock Option (Right to Buy)
2023-04-05−84,791→ 0 totalExercise: $3.46Exp: 2023-07-06→ Common Stock (84,791 underlying) - Sale
Common Stock
2023-03-28$4.06/sh−3,000$12,180→ 0 total - Exercise/Conversion
Common Stock
2023-04-05$3.46/sh+84,791$293,377→ 84,791 total
Footnotes (3)
- [F1]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 April 5, 2023 of $4.19.
- [F2]The shares vested 1/48th of the first day of each month, commencing June 1, 2022.
- [F3]The option expires 90 days following the termination of Mr. Avat's employment with the Company. Mr. Avat's employment terminated on April 7, 2023. While the box indicating that Mr. Avat is no longer subject to Section 16 has been checked, Mr. Avat remains subject to Section 16 through such date.
Documents
Issuer
CAPRICOR THERAPEUTICS, INC.
CIK 0001133869
Entity typeother
Related Parties
1- filerCIK 0001931345
Filing Metadata
- Form type
- 4
- Filed
- Apr 6, 8:00 PM ET
- Accepted
- Apr 7, 5:00 PM ET
- Size
- 10.7 KB