Welcome to our dedicated page for Capricor Therapeutics SEC filings (Ticker: CAPR), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Capricor Therapeutics filings document a Delaware biotechnology issuer developing cell and exosome-based therapeutics, including Deramiocel for Duchenne muscular dystrophy. Its 8-K reports record quarterly and annual financial results, FDA communications tied to the Deramiocel Biologics License Application, Regulation FD disclosures, and material-event reporting for litigation-related actions.
Proxy materials address board elections, executive compensation, equity awards, shareholder voting matters, and other governance disclosures. The filing record also identifies CAPR common stock, par value $0.001 per share, as a Nasdaq-listed security and provides formal disclosure around operating results, capital structure, and public-company status.
CAPRICOR THERAPEUTICS, INC. EVP and General Counsel Karen Krasney exercised stock options to acquire 24,100 shares of common stock at $3.18 per share and sold 24,100 shares in open-market transactions at a weighted average price of $30.38 per share. The sales were made under a pre-arranged Rule 10b5-1 trading plan and occurred in multiple trades between $30.00 and $30.88. Following these transactions, she holds 30,547 shares of common stock and 31,261 stock options directly.
CAPRICOR THERAPEUTICS, INC. Chief Financial Officer Anthony Bergmann reported an exercise-and-sale transaction involving company common stock. He exercised stock options to acquire 24,100 shares of Common Stock at an exercise price of $3.18 per share, then sold 24,100 shares in an open-market transaction at a weighted average price of $30.38 per share.
The sales were made under a pre-arranged Rule 10b5-1 trading plan adopted in December 2025, with individual trade prices ranging from $30.00 to $30.88 per share. Following these transactions, Bergmann directly holds 11,223 shares of Common Stock and 91,980 stock options.
Capricor Therapeutics filed an 8-K announcing that the FDA’s Cellular, Tissue, and Gene Therapies Advisory Committee will review its Biologics License Application for Deramiocel, an investigational cell therapy for Duchenne muscular dystrophy (DMD).
The advisory committee meeting is scheduled for July 29, 2026 and will be live streamed. The BLA is supported by positive Phase 2 and long-term HOPE-2 data and the Phase 3 HOPE-3 trial, which achieved statistical significance on its primary functional endpoint and key cardiac and other controlled secondary endpoints. The application remains on track with a PDUFA target action date of August 22, 2026. Deramiocel has multiple regulatory designations, including Orphan Drug and RMAT, and could qualify Capricor for a Priority Review Voucher upon approval.
Capricor Therapeutics EVP and General Counsel Karen Krasney reported routine insider transactions involving company stock. She exercised stock options to acquire a total of 900 shares of common stock at an exercise price of $3.18 per share, then sold 900 shares in open-market transactions at $30.00 per share pursuant to a preplanned Rule 10b5-1 trading plan adopted in December 2025. Following these trades, she directly holds 30,547 shares of Capricor common stock.
CAPRICOR THERAPEUTICS, INC. Chief Financial Officer Anthony Bergmann executed an exercise-and-sell pattern in company stock. He exercised stock options to acquire a total of 900 shares of Common Stock at $3.18 per share and sold 900 shares in open-market transactions at $30.00 per share on two dates.
Following these transactions, he directly holds 11,223 shares of Common Stock. The sales were made pursuant to a pre-arranged Rule 10b5-1 trading plan adopted in December 2025, indicating the timing was established in advance as part of a scheduled trading program.
Capricor Therapeutics, Inc. reported the results of its Annual Meeting of stockholders held at its San Diego headquarters on June 4, 2026. Holders of 43,823,881 shares were present in person or by proxy, out of 57,840,102 common shares entitled to vote.
Eight director nominees each received more votes "For" than "Withheld", including Linda Marbán, Ph.D. with 25,482,880 For and 5,310,512 Withheld. One proposal received 43,057,620 votes For, 562,751 Against and 203,510 Abstain, while another received 24,336,434 For, 6,244,316 Against, 212,642 Abstain and 13,030,489 broker non-votes.
A proposal offering choices of one, two, or three years received 29,774,194 votes for one year, 418,808 for two years, 189,009 for three years, and 411,381 Abstain, with 13,030,489 broker non-votes. Another proposal received 23,472,207 For, 6,433,198 Against, 887,987 Abstain and 13,030,489 broker non-votes.
Capricor Therapeutics’ Chief Commercial Officer Michael T. Maurer received a grant of stock options for 80,000 shares of common stock. The options have an exercise price of $29.36 per share and expire on May 26, 2036.
The award vests 25% on the first anniversary of the first day of the month following the grant date, with the remaining 75% vesting in equal monthly installments over 36 months. The options are subject to early exercise, which would convert unvested portions into restricted stock subject to the company’s repurchase option if his service ends before vesting.
CAPRICOR THERAPEUTICS, INC. filed an initial insider ownership report on Form 3 for Michael T. Maurer, who serves as Chief Commercial Officer. The filing identifies him as a reporting person under SEC rules, and the provided summary shows no insider transactions or derivative holdings.
CAPRICOR THERAPEUTICS Chief Financial Officer Anthony Bergmann exercised stock options to acquire 3,000 shares of common stock at an exercise price of $1.39 per share. These options came from a 2016 grant that was adjusted for a 1-for-10 reverse stock split and a later share reprice. Following the exercise, Bergmann directly holds 11,223 common shares. The option grant vested in equal monthly installments over 48 months beginning July 1, 2016.
CAPR amendment to Form 144/A reports an affiliate sale of 10,000 shares of Common Stock tied to a stock award granted 06/22/2022. The filing shows a reported gross value of $273,200.00 and lists Fidelity Brokerage Services LLC as the broker on 05/19/2026.
This filing amends prior Form 144 details and documents the transaction type as Compensation (stock award). The disclosure lists the exchange as NASDAQ and identifies the securities class as Common Stock.