Capricor director exercises and sells 7,529 shares

CAPRICOR THERAPEUTICS, INC. director Karimah Es Sabar exercised stock options to acquire 7,529 shares of Common Stock at $3.18 per share and, on the same date, sold all 7,529 shares at $32.00 per share.

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Rhea-AI Filing Summary

CAPRICOR THERAPEUTICS, INC. director Karimah Es Sabar exercised stock options to acquire 7,529 shares of Common Stock at $3.18 per share and, on the same date, sold all 7,529 shares at $32.00 per share.

The sale was carried out under a pre-arranged Rule 10b5-1 trading plan adopted in December 2025, indicating the transactions were scheduled in advance rather than timed opportunistically. Following these transactions, the reporting person held no Common Stock directly.

Insider Trade Summary 10b5-1

Exercise and Sale: 7,529 shares ($217K approx. pre-tax spread)

Exercise and Sale 3 txns

Insider Sabar Karimah Es

Role Director

Sold 7,529 shs ($241K)

Approx. gross sale proceeds $241K

Approx. exercise cost $24K

Approx. pre-tax spread $217K

Type	Security	Shares	Price	Value
Exercise	Stock Option (Right to Buy)	7,529	$0.00	$0.00
Exercise	Common Stock	7,529	$3.18	$24K
Sale	Common Stock	7,529	$32.00	$241K

Holdings After Transaction: Stock Option (Right to Buy) — 161 contracts (Direct); Common Stock — 0 shares (Direct)

Footnotes (2)

F1. Shares were sold pursuant to a 10b5-1 trading plan adopted in December 2025 by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
F2. Shares vested 1/48th on the first day of each month commencing February 1, 2022.

Key Figures

Options exercised: 7,529 shares Exercise price: $3.18 per share Shares sold: 7,529 shares +5 more

8 metrics

Options exercised 7,529 shares Stock options converted to Common Stock on 2026-04-02

Exercise price $3.18 per share Stock Option (Right to Buy) for CAPR Common Stock

Shares sold 7,529 shares Open-market sale of Common Stock on 2026-04-02

Sale price $32.00 per share Common Stock sale following option exercise

Post-sale Common Stock holding 0 shares Total Common Stock directly owned after transactions

10b5-1 plan adoption December 2025 Plan governing the 7,529-share sale

Option vesting schedule 1/48th monthly Vested on first day of each month from February 1, 2022

Option expiration 2032-01-03 Expiration date for the exercised stock options

Key Terms

Rule 10b5-1 trading plan, Stock Option (Right to Buy, Exercise or conversion of derivative security, Common Stock, +1 more

5 terms

Rule 10b5-1 trading plan regulatory

"Shares were sold pursuant to a 10b5-1 trading plan adopted in December 2025"

A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.

Stock Option (Right to Buy financial

"security_title: "Stock Option (Right to Buy)""

Exercise or conversion of derivative security financial

"transaction_code_description: "Exercise or conversion of derivative security""

Common Stock financial

"underlying_security_title: "Common Stock""

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

vested 1/48th financial

"Shares vested 1/48th on the first day of each month"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did CAPR director Karimah Es Sabar report on this Form 4?

Director Karimah Es Sabar exercised options to acquire 7,529 CAPR Common Stock shares at $3.18, then sold all 7,529 shares at $32.00 per share. The exercise and sale occurred on the same date as part of an exercise-and-sell pattern.

At what prices did the CAPR director exercise and sell the 7,529 shares?

The director exercised stock options at an exercise price of $3.18 per share and sold all 7,529 resulting Common Stock shares at $32.00 per share. This reflects an exercise of previously granted options followed by an open-market sale.

Was the CAPR director’s sale of 7,529 shares made under a Rule 10b5-1 plan?

Yes. The filing notes the 7,529 CAPR shares were sold pursuant to a Rule 10b5-1 trading plan adopted in December 2025. Such plans schedule trades in advance, making the sale more routine and less about short-term market timing.

How many CAPR Common Stock shares did the director hold after these transactions?

After exercising and then selling 7,529 CAPR Common Stock shares, the director reported holding zero Common Stock shares directly. The filing shows 0.0000 total Common Stock shares following the sale transaction reported on the Form 4.

What were the terms of the CAPR stock options exercised by the director?

The exercised CAPR stock options covered 7,529 underlying Common Stock shares with a $3.18 exercise price and an expiration date in 2032. A footnote explains these options vested 1/48th on the first day of each month starting February 1, 2022.

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Accepted by SEC EDGAR 04/03/2026 - 05:00 PM

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Sabar Karimah Es

(Last)

(First)

(Middle)

C/O CAPRICOR THERAPEUTICS, INC.

10865 ROAD TO THE CURE, SUITE 150

(Street)

SAN DIEGO

CALIFORNIA

92121

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
CAPRICOR THERAPEUTICS, INC. [ CAPR ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
04/02/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	04/02/2026		M		7,529	A	$3.18	7,529	D
Common Stock	04/02/2026		S⁽¹⁾		7,529	D	$32	0	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Stock Option (Right to Buy)	$3.18	04/02/2026		M			7,529	⁽²⁾	01/03/2032	Common Stock	7,529	$0	161	D

Explanation of Responses:

1. Shares were sold pursuant to a 10b5-1 trading plan adopted in December 2025 by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

2. Shares vested 1/48th on the first day of each month commencing February 1, 2022.

	/s/ Linda Marban, Attorney-in-Fact	04/03/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR