CAPRICOR THERAPEUTICS, INC. 10-K

ITEM 5. MARKET FOR REGISTRANT’S COMMON EQUITY, RELATED STOCKHOLDER MATTERS AND ISSUER PURCHASES OF EQUITY SECURITIES Market for Common Stock Our common stock is traded on the Nasdaq Capital Market under the symbol “CAPR”. The following table lists the high and low closing sales prices of our common stock as quoted, in U.S. dollars, by Nasdaq for the periods indicated. The quotations reflect inter-dealer prices, without retail markup, markdown or commission, and may not represent actual transactions. Consequently, the information provided below may not be indicative of our common stock price under different conditions. ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ High ​ ​ Low Year ended December 31, 2020 ​ ​ ​ ​ ​ First Quarter ​ $ 2.02 ​ ​ $ 0.94 Second Quarter ​ ​ 8.50 ​ ​ ​ 1.00 Third Quarter ​ ​ 9.81 ​ ​ ​ 4.08 ​ Fourth Quarter ​ ​ 5.23 ​ ​ ​ 3.70 ​ ​ ​ ​ ​ ​ ​ ​ ​ ​ Year ended December 31, 2021 ​ ​ ​ ​ ​ ​ ​ ​ First Quarter $ 7.93 ​ ​ $ 3.63 ​ Second Quarter ​ ​ 5.72 ​ ​ ​ 3.16 ​ Third Quarter ​ ​ 5.23 ​ ​ ​ 3.80 ​ Fourth Quarter ​ ​ 4.16 ​ ​ ​ 2.89 ​ ​ Holders According to the records of our transfer agent, American Stock Transfer & Trust Company, as of March 9, 2022, we had 136 holders of record of common stock, not including holders who held in “street name.” Dividends We have never declared or paid a dividend on our common stock and do not anticipate paying any cash dividends in the foreseeable future. The ability of our Board of Directors to declare a dividend is subject to limits imposed by Delaware corporate law. Securities Authorized for Issuance Under Equity Compensation Plans The information required by this item is set forth in the section entitled “Securities Authorized for Issuance Under Equity Compensation Plans” in our Definitive Proxy Statement for our 2022 Annual Meeting of Stockholders, to be filed with the SEC within 120 days after the end of the fiscal year ended December 31, 2021, and is incorporated herein by reference. Performance Graph We are a smaller reporting company, as defined by Rule 12b-2 of the Securities Exchange Act of 1934, as amended, and are not required to provide a performance graph. Recent Sales of Unregistered Securities Not applicable. Issuer Purchases of Equity Securities None. 76 Table of Contents ​ ITEM 6. RESERVED ​ 77 Table of Contents