Capricor CFO sells shares after option exercise

CAPRICOR THERAPEUTICS, INC.

Rhea-AI Filing Summary

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.

Insider Trade Summary

Exercise and Sale: 24,100 shares ($656K approx. pre-tax spread)

Exercise and Sale 3 txns

Insider Bergmann Anthony

Role CHIEF FINANCIAL OFFICER

Sold 24,100 shs ($732K)

Approx. gross sale proceeds $732K

Approx. exercise cost $77K

Approx. pre-tax spread $656K

Type	Security	Shares	Price	Value
Exercise	Stock Option (Right to Buy)	24,100	$0.00	$0.00
Exercise	Common Stock	24,100	$3.18	$77K
Sale	Common Stock	24,100	$30.38	$732K

Holdings After Transaction: Stock Option (Right to Buy) — 91,980 contracts (Direct); Common Stock — 11,223 shares (Direct)

Footnotes (3)

1. 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.
2. F2. The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.88, inclusive.
3. F3. Shares vested 1/48th on the first day of each month commencing February 1, 2022.

Key Figures

Shares sold: 24,100 shares Sale price (weighted average): $30.38 per share Sale price range: $30.00–$30.88 per share +3 more

6 metrics

Shares sold 24,100 shares Common Stock sold in open-market transaction on June 25, 2026

Sale price (weighted average) $30.38 per share Weighted average sale price for 24,100 shares

Sale price range $30.00–$30.88 per share Price range of multiple sale transactions

Option exercise price $3.18 per share Exercise price for 24,100 stock options converted to Common Stock

Shares held after 11,223 shares Common Stock directly owned after the transactions

Options remaining 91,980 options Stock options following the 24,100-share exercise

Key Terms

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

5 terms

Rule 10b5-1 trading plan regulatory

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

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.

weighted average price financial

"The price reported on Column 4 is the weighted average price."

Weighted average price is the average price of a security where each trade or component is counted according to its size, so bigger trades pull the average more than smaller ones. Think of it like calculating the average cost of a grocery haul where items you bought more of have greater influence on the final per-item cost. Investors use it to understand the true average price paid or received, judge execution quality, and compare trading performance against market movement.

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

"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.

FAQ

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

What insider transaction did CAPR CFO Anthony Bergmann report on this Form 4?

CAPR CFO Anthony Bergmann exercised stock options for 24,100 shares at $3.18 and sold 24,100 common shares at a weighted average of $30.38. The filing shows a combined exercise-and-sale pattern on June 25, 2026 involving Capricor Therapeutics common stock.

At what prices did CAPR CFO Anthony Bergmann sell his Capricor shares?

He sold 24,100 Capricor common shares at a weighted average price of $30.38 per share. Footnotes state the individual trades occurred in a range between $30.00 and $30.88 per share, all completed on June 25, 2026.

Were CAPR CFO Anthony Bergmann’s Capricor share sales made under a 10b5-1 plan?

Yes, the filing states the shares were sold pursuant to a Rule 10b5-1 trading plan adopted in December 2025. Such plans pre-schedule trades, indicating these sales were executed according to a pre-arranged program rather than discretionary timing decisions.

How many Capricor shares does CAPR CFO Anthony Bergmann own after this Form 4 transaction?

After the reported transactions, he directly holds 11,223 shares of Capricor common stock. The filing also shows 91,980 stock options remaining following the 24,100-share option exercise and related open-market sale reported for June 25, 2026.

What stock options did CAPR CFO Anthony Bergmann exercise in this Capricor filing?

He exercised stock options covering 24,100 underlying common shares at a conversion or exercise price of $3.18 per share. After this option exercise, the Form 4 reports 91,980 stock options remaining, with vesting described as 1/48th monthly from February 1, 2022.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 06/29/2026 - 09:30 PM Learn about SEC filing dates

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^*

Bergmann Anthony

(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)
	CHIEF FINANCIAL OFFICER

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/25/2026

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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	06/25/2026		M		24,100	A	$3.18	35,323	D
Common Stock	06/25/2026		S(1)		24,100	D	$30.38(2)	11,223	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)	$3.18	06/25/2026		M			24,100	(3)	01/03/2032	Common Stock	24,100	$0	91,980	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. The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.88, inclusive.

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

	/s/ Linda Marban, Attorney-in-Fact	06/29/2026
	** 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)