SEC Form 5 · accession 0001144204-17-006277
CAPRICOR THERAPEUTICS, INC. · CAPR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eduardo Marban
10% Owner
Period of report
Dec 31, 2016
Accepted (ET)
Feb 6, 2017 · 7:00 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 | Oct 25, 2016 | G | 65,000 | $0.00 | D | 3,108,354 | D | |
| Common StockF1 | holding | — | — | — | 199,509 | 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 in that he has no power to vote or to direct the voting of these securities, nor does he 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.