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Capricor Therapeutics (NASDAQ: CAPR) director granted multiple stock option awards

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Capricor Therapeutics director Paul Gisbert Auwaerter reported stock option grants for board and committee service. On January 5, 2026, he received three awards of stock options, each with an exercise price of $24.81 per share. The grants cover 15,500 shares that vest in 12 monthly installments beginning February 1, 2026, plus two fully vested grants for 1,360 shares and 5,420 shares that were exercisable immediately on January 5, 2026. The partially vesting award includes an early exercise feature, allowing purchase before vesting, with unvested shares subject to a company repurchase right if his service ends.

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Insider Auwaerter Paul Gisbert
Role Director
Type Security Shares Price Value
Grant/Award Stock Option (Right to Buy) 15,500 $0.00 --
Grant/Award Stock Option (Right to Buy) 1,360 $0.00 --
Grant/Award Stock Option (Right to Buy) 5,420 $0.00 --
Holdings After Transaction: Stock Option (Right to Buy) — 15,500 shares (Direct)
Footnotes (1)
  1. The shares vest 1/12th of the first day of each month, commencing February 1, 2026, with the last month vesting on December 31, 2026, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting. The shares of the award are fully vested and exercisable as of January 5, 2026, the date of the grant. The award pertains to annual board committee service. The shares of the award are fully vested and exercisable as of January 5, 2026, the date of the grant. The award pertains to annual board service.
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*
Auwaerter Paul Gisbert
(Last) (First) (Middle)
C/O CAPRICOR THERAPEUTICS, INC.
10865 ROAD TO THE CURE, SUITE 150
(Street)
SAN DIEGO CA 92121
(City) (State) (Zip)
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)
3. Date of Earliest Transaction (Month/Day/Year)
01/05/2026
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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
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) $24.81 01/05/2026 A 15,500 (1) 01/05/2036 Common Stock 15,500 $0 15,500 D
Stock Option (Right to Buy) $24.81 01/05/2026 A 1,360 (2) 01/05/2036 Common Stock 1,360 $0 1,360 D
Stock Option (Right to Buy) $24.81 01/05/2026 A 5,420 (3) 01/05/2036 Common Stock 5,420 $0 5,420 D
Explanation of Responses:
1. The shares vest 1/12th of the first day of each month, commencing February 1, 2026, with the last month vesting on December 31, 2026, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.
2. The shares of the award are fully vested and exercisable as of January 5, 2026, the date of the grant. The award pertains to annual board committee service.
3. The shares of the award are fully vested and exercisable as of January 5, 2026, the date of the grant. The award pertains to annual board service.
/s/ Linda Marban, Attorney-in-Fact 01/07/2026
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did CAPR director Paul Gisbert Auwaerter report?

He reported grants of stock options on January 5, 2026, covering 15,500 shares that vest monthly beginning February 1, 2026, and two fully vested grants for 1,360 and 5,420 shares, all with an exercise price of $24.81 per share.

What is the vesting schedule for Paul Gisbert Auwaerter’s 15,500 CAPR stock options?

The 15,500-share option vests 1/12th on the first day of each month starting February 1, 2026, with the final installment vesting on December 31, 2026, when it becomes fully vested and exercisable.

Are any of Paul Gisbert Auwaerter’s CAPR stock option grants fully vested on the grant date?

Yes. The 1,360-share award for annual board committee service and the 5,420-share award for annual board service are fully vested and exercisable as of January 5, 2026.

What is the early exercise feature on Paul Gisbert Auwaerter’s CAPR options?

The 15,500-share option allows early exercise at any time. Shares purchased before vesting are treated as restricted stock and may be repurchased by Capricor Therapeutics if his service ends before those shares vest.

What role does Paul Gisbert Auwaerter hold at Capricor Therapeutics (CAPR)?

He is a director of Capricor Therapeutics, Inc., as indicated in the filing.