SEC Form 4 · accession 0001144204-15-003361
CAPRICOR THERAPEUTICS, INC. · CAPR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David B Musket
Director
Period of report
Jan 21, 2015
Accepted (ET)
Jan 22, 2015 · 7:34 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001133869
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Jan 21, 2015 | P | 70,962 | $3.523 | A | 70,962 | I | By SEP FBO David B. Musket, Pershing LLC as Custodian |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1SEP FBO David B. Musket, Pershing LLC as Custodian, entered into a Share Purchase Agreement with Capricor Therapeutics, Inc. (the "Issuer") pursuant to which SEP FBO David B. Musket, Pershing LLC as Custodian, on January 21, 2015, purchased an aggregate of 70,962 shares of the Issuer's common stock at a purchase price of $3.5230 per share for an aggregate purchase price of approximately US$250,000.
- F2The shares of the Issuer's common stock are held by the Reporting Person's IRA.