Capricor (CAPR) EVP and General Counsel exercises options for 2,500 shares

Rhea-AI Filing Summary

Capricor Therapeutics EVP and General Counsel Karen Krasney exercised stock options to acquire 2,500 shares of common stock at an exercise price of $1.39 per share. These options were originally granted on January 3, 2017 and adjusted for a 1-for-10 reverse split and a later option reprice.

Following the exercise, Krasney directly holds 30,547 shares of Capricor common stock. The option grant vested in equal monthly installments, with 1/48th of the award vesting on the first day of each month beginning on February 1, 2017, and this filing reflects the full exercise of the remaining 2,500-share option position.

Insider Trade Summary

2,500 shares exercised/converted

Mixed 2 txns

Insider Krasney Karen

Role EVP, GENERAL COUNSEL

Type	Security	Shares	Price	Value
Exercise	Stock Option (Right to Buy)	2,500	$0.00	--
Exercise	Common Stock	2,500	$1.39	$3K

Holdings After Transaction: Stock Option (Right to Buy) — 0 shares (Direct); Common Stock — 30,547 shares (Direct)

Footnotes (1)

1. This option was granted on January 3, 2017 and was previously covering 25,000 shares at an exercise price of $2.55 per share, but was adjusted to reflect a 1-for-10 reverse split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020. Shares vested 1/48th on the first day of each month commencing February 1, 2017.

Form 4 Insider Transactions: What Each Field Means →

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^*

Krasney Karen

(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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	EVP, GENERAL COUNSEL

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
12/30/2025

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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	12/30/2025		M		2,500	A	$1.39	30,547	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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (Right to Buy)	$1.39	12/30/2025		M			2,500(1)	(2)	01/03/2027	Common Stock	2,500(1)	$0	0	D

Explanation of Responses:

1. This option was granted on January 3, 2017 and was previously covering 25,000 shares at an exercise price of $2.55 per share, but was adjusted to reflect a 1-for-10 reverse split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

2. Shares vested 1/48th on the first day of each month commencing February 1, 2017.

	/s/ Linda Marban, Attorney-in-Fact	03/27/2026
	** 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)

FAQ

What insider transaction did Capricor Therapeutics (CAPR) report for Karen Krasney?

Capricor reported that EVP and General Counsel Karen Krasney exercised stock options to acquire 2,500 shares of common stock at $1.39 per share. This increased her direct ownership to 30,547 shares following the transaction.

How many Capricor (CAPR) shares does Karen Krasney own after this Form 4 filing?

After exercising options, Karen Krasney directly owns 30,547 shares of Capricor common stock. The Form 4 shows this total in the post-transaction holdings column for the common stock entry dated December 30, 2025.

What was the exercise price and size of the options Krasney exercised at Capricor (CAPR)?

Karen Krasney exercised stock options covering 2,500 shares of Capricor common stock at an exercise price of $1.39 per share. These options were originally granted in 2017 and later repriced and adjusted for a 1-for-10 reverse split.

What is the background of the stock options exercised in this Capricor (CAPR) Form 4?

The option was granted on January 3, 2017, initially covering 25,000 shares at $2.55 per share, then adjusted for a 1-for-10 reverse split on June 4, 2019 and repriced to $1.39 on February 12, 2020, according to the footnotes.

How did the vesting of Karen Krasney’s Capricor (CAPR) options work?

The option grant vested in equal monthly installments, with 1/48th of the award vesting on the first day of each month starting February 1, 2017. This schedule meant the entire grant became fully vested over a four-year period.

Does the Form 4 show any remaining options for Karen Krasney at Capricor (CAPR)?

For this specific option grant, the Form 4 shows zero derivative securities remaining after the 2,500-share exercise. The derivative position table lists 0.0000 total derivative shares following the transaction for this award.