SEC Form 4 · accession 0001144204-17-053990

CAPRICOR THERAPEUTICS, INC. · CAPR

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Oct 23, 2017

Accepted (ET)

Oct 25, 2017 · 12:00 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 Stock^F1	Oct 23, 2017	M	20,748	$0.16	A	159,132	D
Common Stock^F2	holding	—	—		—	638,155	I	By Coniston Corporation

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (right to buy)^F3	$0.16	Oct 23, 2017	M	20,748	D	—	Oct 31, 2017	Common Stock	20,748	0	D

F1On October 23, 2017, the Reporting Person exercised stock options for 20,748 shares of Common Stock. The exercise price was $0.16 per share and the exercise was subject to the terms and conditions of a Stock Option Award which was granted on November 1, 2007 under the Company's 2006 Stock Option Plan.
F2638,155 shares of common stock of the Issuer are beneficially owned by Coniston Corporation. The equity securities of Coniston Corporation are held by the Reporting Person and irrevocable trusts for the benefit of the children of the Reporting Person of which the Reporting Person is not the trustee. The Reporting Person has sole voting power over Coniston Corporation and therefore may be deemed to have sole voting and dispositive power with respect to all securities of the Issuer beneficially owned by Coniston Corporation.
F325% of the shares subject to the Reporting Person's stock option became exercisable on each of the following dates: (1) February 1, 2008; (2) May 1, 2008; (3) August 1, 2008; and (4) November 1, 2008.