SEC Form 5 · accession 0001144204-17-006278
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
Dec 31, 2016
Accepted (ET)
Feb 6, 2017 · 7:01 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 | 208,709 | D | |
| Common Stock | Mar 16, 2016 | P | 10,152 | $2.40 | A | 208,709 | D | |
| Common StockF2 | holding | — | — | — | 3,099,154 | I | By spouse. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants (Right to Buy) | $4.50 | Mar 16, 2016 | P | 5,076 | A | Sep 17, 2016 | Mar 16, 2019 | Common Stock | 5,076 | 5,076 | D |
Explanation of responses
- F1The Reporting Person entered into a Subscription Agreement with Capricor Therapeutics, Inc. (the "Issuer") pursuant to which the Reporting Person, on March 16, 2016, purchased (i) 10,152 shares of the Issuer's common stock at a purchase price of $2.40 per share, and (ii) warrants to purchase up to an aggregate of 5,076 shares of the Issuer's common stock at a purchase price of $0.125 per share issuable upon exercise of the warrants, for an aggregate purchase price of approximately $25,000.
- F2The Reporting Person disclaims beneficial ownership of these securities 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.