CAPRICOR THERAPEUTICS, INC. — Director's Dealing 2021

Jan 6, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CAPRICOR THERAPEUTICS, INC. (CAPR)
CIK: 0001133869
Period of Report: 2021-01-04

Reporting Person: Bergmann Anthony (CHIEF FINANCIAL OFFICER)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-01-04	Stock Option (Right to Buy)	$3.74	A	95693	Acquired	2031-01-04	Common Stock (95693)	Direct

Footnotes

F1: The shares vest 1/48th of the first day of each month, commencing February 1, 2021, until the stock option becomes fully vested and exercisable. 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 restricted stock 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.