CAPRICOR THERAPEUTICS, INC. — Director's Dealing 2021

Dec 29, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CAPRICOR THERAPEUTICS, INC. (CAPR)
CIK: 0001133869
Period of Report: 2021-12-27

Reporting Person: Musket David B (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-12-27	Common Stock	M	15455	$1.39	Acquired	38346	Direct
2021-12-27	Common Stock	M	20391	$1.10	Acquired	58737	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-12-27	Stock Option (Right to Buy)	$1.39	M	15455	Disposed	2022-04-27	Common Stock (15455)	Direct
2021-12-27	Warrants (Right to Buy)	$1.10	M	20391	Disposed	2024-12-17	Common Stock (20391)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	7096	Indirect

Footnotes

F1: This option was granted on April 27, 2012 and was previously reported as covering 154,555 shares at an exercise price of $0.37 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

F2: The shares vested 1/48th of the first day of each month, commencing May 1, 2012.