Avat Xavier's Form 4 filing
Capricor Therapeutics, Inc. (CAPR) · filed Apr 7, 2023
- Accession no.
- 0001415889-23-006365
- Filed
- Apr 7, 2023
- Trade date
- Mar 28-Apr 5, 2023
- Filing delay
- 10 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $12.2K. It was filed 10 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Avat XavierCIK 0001931345 | Other: FORMER CHIEF BUSINESS OFFICER |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 28, 2023 | Common Stock | SSaleDisposed | −3,000 | $4.06 | −$12,180 | 0 | Direct | |
| Apr 5, 2023 | Common Stock | MOption exerciseAcquired | +84,791 | $3.46 | +$293,376.86 | 84,791 | Direct | |
| Apr 5, 2023 | Common Stock | FTax withholdingDisposed | −70,019 | $4.19 | −$293,379.61 | 14,772 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Apr 5, 2023 | Common Stock | MOption exerciseDisposed | −84,791 | $0.00 | $0 | 0 | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.