SEC Form 5 · accession 0001144204-16-082896
CAPRICOR THERAPEUTICS, INC. · CAPR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Linda Marban
Officer — CEO · Director
Period of report
Dec 31, 2015
Accepted (ET)
Feb 16, 2016 · 7:38 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 Stock | Dec 16, 2015 | G | 5,000 | $0.00 | D | 263,557 | D | |
| Common StockF1 | holding | — | — | — | 3,173,354 | I | By spouse. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Reporting Person disclaims beneficial ownership of these securities, other than over 9,200 shares held in joint tenancy with her spouse, in that she has no power to vote or to direct the voting of these securities, nor does she have the power to dispose of or to direct the disposition of these securities. This report shall not be deemed a disclaimer of any community interest of the Reporting Person in such securities.