Capricor (CAPR) CCO Michael Maurer awarded 80,000 stock options at $29.36

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

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.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Maurer Michael T

Role CHIEF COMMERCIAL OFFICER

Type	Security	Shares	Price	Value
Grant/Award	Stock Option (Right to Buy)	80,000	$0.00	--

Holdings After Transaction: Stock Option (Right to Buy) — 80,000 shares (Direct, null)

Footnotes (1)

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Key Figures

Options granted: 80,000 options Exercise price: $29.36 per share Underlying shares: 80,000 shares +3 more

6 metrics

Options granted 80,000 options Stock Option (Right to Buy) granted to CCO

Exercise price $29.36 per share Conversion/exercise price of option grant

Underlying shares 80,000 shares Common Stock underlying the options

Expiration date May 26, 2036 Option term end

Initial vesting portion 25% Vests on first anniversary of month-start after grant

Monthly vesting remainder 75% over 36 months Remaining options vesting schedule

Key Terms

Stock Option (Right to Buy), early exercise, restricted stock, repurchase option

4 terms

Stock Option (Right to Buy) financial

"security_title: Stock Option (Right to Buy)"

early exercise financial

"The option is subject to early exercise and, therefore, all or any part"

restricted stock financial

"the shares will be deemed restricted stock and will be subject to a repurchase option"

Shares granted to an individual that carry limits on transfer or sale until certain conditions are met, such as staying with the company for a set time or hitting performance targets. Think of them as a locked gift that gradually opens; for investors they matter because they affect how many shares may enter the market later, signal management incentives and potential dilution, and reveal confidence in future company performance.

repurchase option financial

"subject to a repurchase option in favor of the Issuer if the reporting person's service"

Form 4 Insider Transactions: What Each Field Means →

05/28/2026 - 09:55 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^*

Maurer Michael T

(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 COMMERCIAL OFFICER

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/26/2026

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)

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)	$29.36	05/26/2026		A		80,000		⁽¹⁾	05/26/2036	Common Stock	80,000	$0	80,000	D

Explanation of Responses:

1. The shares vest 25% on the first anniversary of the first day of the month following the Grant Date, with the remainder to vest at the rate of 1/36 per month thereafter. 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.

	/s/ Linda Marban, Attorney-in-Fact	05/28/2026
	** 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

FAQ

What did Capricor Therapeutics (CAPR) disclose about Michael Maurer in this Form 4?

Capricor Therapeutics reported that Chief Commercial Officer Michael T. Maurer received a grant of stock options for 80,000 shares of common stock. These options are part of his compensation and give him the right to buy shares at a fixed exercise price.

How many Capricor (CAPR) stock options were granted to Michael Maurer and at what price?

Michael Maurer was granted options covering 80,000 shares of Capricor common stock at an exercise price of $29.36 per share. This price is the amount he must pay to buy each share if he chooses to exercise the options in the future.

What is the vesting schedule for Michael Maurer’s Capricor (CAPR) stock option grant?

The stock options vest 25% on the first anniversary of the first day of the month following the grant date. The remaining 75% vests in equal monthly installments over 36 months, rewarding continued service with gradually increasing exercisable ownership potential.

When do Michael Maurer’s Capricor (CAPR) stock options expire?

Michael Maurer’s stock options expire on May 26, 2036. After this expiration date, any unexercised options become worthless, so the long term provides a substantial window for potential exercise depending on his tenure and the company’s share performance.

What does the early exercise feature mean for Michael Maurer’s Capricor (CAPR) options?

The early exercise feature allows Michael Maurer to exercise all or part of the options before they vest. Shares bought early are treated as restricted stock and can be repurchased by Capricor if his service ends before those shares fully vest under the schedule.

What is the repurchase option mentioned in the Capricor (CAPR) Form 4 footnote?

If Michael Maurer early exercises and buys unvested shares, those shares become restricted stock. Capricor retains a repurchase option, allowing the company to buy back unvested shares if his service terminates before they vest, protecting the company’s equity structure.