Form Type: 4

SEC EDGAR Link
Accession Number:0001104659-21-096408
Date:2021-07-23
Issuer: CAPRICOR THERAPEUTICS, INC. (CAPR)
Original Submission Date:

Reporting Person:

SABAR KARIMAH ES
C/O CAPRICOR THERAPEUTICS, INC.
8840 WILSHIRE BLVD., 2ND FLOOR BEVERLY HILLS, CA 90211

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 4.86 2021-07-23 deemed execution date A 115,000 (a) 2031-07-23 common stock 115,000 $4.86 115,000 direct
Footnotes
IDfootnote
f1 the shares vest 25% on the first anniversary of the first day of the month following the grant date, with the remainder to vest at the rate of 1/36 per month thereafter. the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. if the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restrictedstock and will be subject to a repurchase option in favor of the issuer if the reporting person's service to the issuer terminates prior to vesting.

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