SEC Form 4 · accession 0001144204-15-051136
CAPRICOR THERAPEUTICS, INC. · CAPR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Linda Marban
Officer — Chief Executive Officer · Director
Period of report
Aug 18, 2015
Accepted (ET)
Aug 20, 2015 · 7:00 pm EDT
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 StockF1 | Aug 18, 2015 | P | 5,000 | $4.31 | A | 264,357 | D | |
| Common StockF1 | Aug 19, 2015 | P | 4,200 | $4.42 | A | 268,557 | D | |
| Common StockF2 | Aug 18, 2015 | P | 5,000 | $4.31 | A | 3,169,154 | I | By spouse. |
| Common StockF3 | Aug 19, 2015 | P | 4,200 | $4.42 | A | 3,173,354 | I | By spouse. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes shares which the Reporting Person holds in joint tenancy with her spouse.
- F2The Reporting Person disclaims beneficial ownership of these securities, other than the 5,000 shares held in joint tenancy with her spouse, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- F3The Reporting Person disclaims beneficial ownership of these securities, other than the 9,200 shares held in joint tenancy with her spouse, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.