CAPRICOR CFO exercises options for 3,000 shares

CAPRICOR THERAPEUTICS Chief Financial Officer Anthony Bergmann exercised stock options to acquire 3,000 shares of common stock at an exercise price of $1.39 per share.

Rhea-AI Filing Summary

CAPRICOR THERAPEUTICS Chief Financial Officer Anthony Bergmann exercised stock options to acquire 3,000 shares of common stock at an exercise price of $1.39 per share. These options came from a 2016 grant that was adjusted for a 1-for-10 reverse stock split and a later share reprice. Following the exercise, Bergmann directly holds 11,223 common shares. The option grant vested in equal monthly installments over 48 months beginning July 1, 2016.

Insider Trade Summary

3,000 shares exercised/converted

Exercise 2 txns

Insider Bergmann Anthony

Role CHIEF FINANCIAL OFFICER

Type	Security	Shares	Price	Value
Exercise	Stock Option (Right to Buy)	3,000	$0.00	$0.00
Exercise	Common Stock	3,000	$1.39	$4K

Holdings After Transaction: Stock Option (Right to Buy) — 0 contracts (Direct); Common Stock — 11,223 shares (Direct)

Footnotes (2)

1. F1. This option was granted on June 2, 2016 and was previously reported as covering 30,000 shares at an exercise price of $3.12 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice of $1.39 per share that occurred on February 12, 2020.
2. F2. Shares vested 1/48th on the first day of each month commencing as of July 1, 2016.

Key Figures

Options Exercised: 3,000 shares Exercise Price: $1.39/share Shares Held After: 11,223 shares +4 more

7 metrics

Options Exercised 3,000 shares Common Stock acquired via option exercise on 2026-05-18

Exercise Price $1.39/share Exercise or conversion price for stock options

Shares Held After 11,223 shares Total common shares directly owned after transaction

Original Grant Size 30,000 shares Pre-split option grant size from June 2, 2016

Original Exercise Price $3.12/share Pre-adjustment option exercise price before split and reprice

Reverse Stock Split Ratio 1-for-10 Reverse stock split effective June 4, 2019

Vesting Schedule 1/48th monthly Vesting on first day of each month from July 1, 2016

Key Terms

Stock Option (Right to Buy), reverse stock split, share reprice, vested 1/48th, +1 more

5 terms

Stock Option (Right to Buy) financial

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

reverse stock split financial

"adjusted to reflect a 1-for-10 reverse stock split that occurred"

A reverse stock split reduces a company's number of outstanding shares while raising the price per share proportionally, so the total value of each investor's holding is unchanged; a 1-for-10 split turns 100 shares worth $1 each into 10 shares worth $10 each. Companies often do this to regain compliance with an exchange's minimum price rule or to attract investors who avoid very low-priced stocks.

share reprice financial

"and a share reprice of $1.39 per share that occurred"

vested 1/48th financial

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

derivative security financial

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

A derivative security is a financial contract whose value comes from the price or performance of something else, such as a stock, bond, commodity, or market index. For investors it acts like an insurance policy or a wager: it can be used to protect against losses, lock in prices, or amplify gains and losses, so it can change a portfolio’s risk and potential return without owning the underlying asset directly.

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?

Anthony Bergmann exercised stock options to acquire 3,000 CAPRICOR THERAPEUTICS common shares. The options converted into stock at a $1.39 exercise price, increasing his direct holdings to 11,223 shares after the transaction.

At what price did the CAPR CFO exercise his stock options for common shares?

The options were exercised at an exercise price of $1.39 per share. This price reflects a repricing of the original 2016 grant after a 1-for-10 reverse stock split and a subsequent share reprice on February 12, 2020.

How many CAPR shares does the CFO hold after exercising options?

After exercising options for 3,000 shares, CFO Anthony Bergmann holds 11,223 CAPRICOR THERAPEUTICS common shares directly. The filing shows no remaining derivative position from this specific option grant following the exercise transaction.

What is the history of the CAPR stock option grant exercised by the CFO?

The exercised option grant was originally issued on June 2, 2016 for 30,000 shares at $3.12 per share. It was later adjusted for a 1-for-10 reverse stock split on June 4, 2019 and repriced to $1.39 on February 12, 2020.

How did the CAPR CFO’s option grant vest over time?

The option grant vested in monthly installments, with 1/48th of the shares vesting on the first day of each month. Vesting began on July 1, 2016, allowing the CFO to gradually earn the right to exercise the full option position.

Did the CAPR Form 4 report any share sale by the CFO?

The Form 4 reports only an option exercise converting 3,000 derivative securities into common stock. It does not show any open-market sale or disposition; the transaction direction is categorized as an acquisition through derivative exercise.

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

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Accepted by SEC EDGAR 05/19/2026 - 04:15 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)
05/18/2026

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	05/18/2026		M		3,000	A	$1.39	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)	$1.39(1)	05/18/2026		M			3,000	(2)	06/02/2026	Common Stock	3,000(1)	$0	0	D

Explanation of Responses:

1. This option was granted on June 2, 2016 and was previously reported as covering 30,000 shares at an exercise price of $3.12 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice of $1.39 per share that occurred on February 12, 2020.

2. Shares vested 1/48th on the first day of each month commencing as of July 1, 2016.

	/s/ Linda Marban, Attorney-in-Fact	05/19/2026
	** 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)