Every Form 4 that Capricor Therapeutics Inc (CAPR) has filed with the SEC in the last 12 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A Form 4 covers the transactions officers, directors and large holders report, so if you follow CAPR and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full CAPR filings page.
CAPRICOR THERAPEUTICS, INC. EVP and General Counsel Karen Krasney exercised stock options to acquire 24,100 shares of common stock at $3.18 per share and sold 24,100 shares in open-market transactions at a weighted average price of $30.38 per share. The sales were made under a pre-arranged Rule 10b5-1 trading plan and occurred in multiple trades between $30.00 and $30.88. Following these transactions, she holds 30,547 shares of common stock and 31,261 stock options directly.
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.
Capricor Therapeutics EVP and General Counsel Karen Krasney reported routine insider transactions involving company stock. She exercised stock options to acquire a total of 900 shares of common stock at an exercise price of $3.18 per share, then sold 900 shares in open-market transactions at $30.00 per share pursuant to a preplanned Rule 10b5-1 trading plan adopted in December 2025. Following these trades, she directly holds 30,547 shares of Capricor common stock.
CAPRICOR THERAPEUTICS, INC. Chief Financial Officer Anthony Bergmann executed an exercise-and-sell pattern in company stock. He exercised stock options to acquire a total of 900 shares of Common Stock at $3.18 per share and sold 900 shares in open-market transactions at $30.00 per share on two dates.
Following these transactions, he directly holds 11,223 shares of Common Stock. The sales were made pursuant to a pre-arranged Rule 10b5-1 trading plan adopted in December 2025, indicating the timing was established in advance as part of a scheduled trading program.
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.
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.
Capricor Therapeutics director Frank Litvack reported a routine option exercise. He exercised stock options covering 3,937 shares of Common Stock at $1.39 per share, converting a derivative position into direct share ownership. Following the exercise, he holds 133,776 Common shares directly and 46,278 Common shares indirectly through the Litvack Curtis Family Trust, where he serves as trustee. The exercised option grant, originally issued in 2016, had been adjusted for a 1-for-10 reverse stock split in 2019 and a share reprice in 2020. No open-market purchases or sales were reported in this filing.
CAPRICOR THERAPEUTICS, INC. EVP and general counsel Karen Krasney reported an exercise-and-sell transaction in the company’s common stock. She sold 25,000 shares in an open-market sale on May 1, 2026 at a weighted average price of $31.7019 per share, under a pre-arranged Rule 10b5-1 trading plan.
On the same date, she exercised stock options to acquire 25,000 shares of common stock at an exercise price of $3.18 per share. Following these transactions, she directly holds 30,547 shares of Capricor common stock.
Capricor Therapeutics chief financial officer Anthony Bergmann executed a combined option exercise and share sale involving 25,000 shares of common stock. He exercised stock options to acquire 25,000 shares at $3.18 per share, then sold 25,000 shares in an open‑market transaction at a weighted average price of $31.7016 per share.
The sale was carried out under a pre‑arranged Rule 10b5‑1 trading plan adopted in December 2025, meaning the trades were scheduled in advance. After these transactions, Bergmann holds 8,223 shares of common stock directly and 116,980 stock options with a $3.18 exercise price expiring in 2032.
CAPRICOR THERAPEUTICS, INC. director Karimah Es Sabar exercised stock options to acquire 7,529 shares of Common Stock at $3.18 per share and, on the same date, sold all 7,529 shares at $32.00 per share.
The sale was carried out under a pre-arranged Rule 10b5-1 trading plan adopted in December 2025, indicating the transactions were scheduled in advance rather than timed opportunistically. Following these transactions, the reporting person held no Common Stock directly.
CAPRICOR THERAPEUTICS, INC. executive vice president and general counsel Karen Krasney reported an exercise-and-sell transaction in company stock. She exercised stock options covering a total of 25,000 shares of common stock at exercise prices of $1.39, $3.74 and $3.18 per share.
On the same day, she sold 25,000 shares of common stock at a weighted average price of $30.1174 per share, with individual trades ranging from $30.00 to $30.31. Following these transactions, she directly holds 30,547 shares of CAPRICOR common stock. The sale was made under a pre-arranged Rule 10b5-1 trading plan adopted in December 2025, indicating the timing was set in advance.
CAPRICOR THERAPEUTICS director Karimah Es Sabar exercised stock options and sold the resulting shares in two days of trading. On March 31, 2026 and April 1, 2026, she exercised options to acquire a total of 115,000 shares of common stock at an exercise price of $4.86 per share and then sold all 115,000 shares in open-market transactions at weighted average prices of $30.1680 and $31.0268, respectively. Following these transactions, no shares from these exercised options remained held, and the sales were carried out under a pre-arranged Rule 10b5-1 trading plan adopted in December 2025.
CAPRICOR THERAPEUTICS CFO Anthony Bergmann exercised stock options and sold shares in a planned transaction. He exercised options for 25,000 shares of Common Stock at $3.18 per share, then sold 25,000 shares of Common Stock at a weighted average price of $30.1261 per share.
The sale was completed under a pre-arranged Rule 10b5-1 trading plan adopted in December 2025. Following these transactions, Bergmann directly holds 8,223 shares of Capricor Therapeutics common stock.
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.
Capricor Therapeutics, Inc. reported that its Chief Executive Officer and director, Linda Marban, received new equity awards on January 5, 2026. She was granted stock options to buy 50,000 shares at $24.81 per share that vest in equal monthly installments of 1/48 beginning February 1, 2026, with an early exercise feature that allows purchase before vesting subject to a company repurchase right. She also received stock options for 100,000 shares at $24.81 per share that vest and become exercisable only upon U.S. Food and Drug Administration approval of Deramiocel, contingent on her continued service. In addition, she was granted 7,500 restricted stock units under the 2025 Equity Incentive Plan, vesting 25% annually starting February 1, 2027, also conditioned on continued service.
Capricor Therapeutics reported that its Chief Financial Officer, Anthony Bergmann, received new equity awards on January 5, 2026. He was granted two stock options, each covering 25,000 shares of common stock at an exercise price of $24.81 per share, and 2,500 restricted stock units (RSUs).
One 25,000-share option vests in equal monthly installments of 1/48th beginning on February 1, 2026, and is subject to an early exercise feature, with unvested shares subject to repurchase if his service ends. The second 25,000-share option vests and becomes exercisable on the date of U.S. Food and Drug Administration approval of Deramiocel, conditioned on his continued service.
Each RSU represents one share of common stock under the company’s 2025 Equity Incentive Plan. The 2,500 RSUs were granted as part of the annual equity grant to executive officers and vest 25% annually starting on February 1, 2027, subject to continued service.
Capricor Therapeutics executive Karen Krasney, EVP and General Counsel, reported two new stock option awards. Each award is a stock option to buy 22,500 shares of Capricor common stock at an exercise price of $24.81 per share, with no purchase price for receiving the options themselves. One option grant vests in equal monthly installments of 1/48 of the shares on the first day of each month starting February 1, 2026, until fully vested, and includes an early exercise feature with a company repurchase right if service ends before vesting. The second option grant vests and becomes exercisable only on the date the U.S. Food and Drug Administration approves Deramiocel, subject to Krasney’s continued service with the company through that approval date.
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.
Capricor Therapeutics director Mike Kelliher reported receiving a stock option grant related to annual board service. On January 5, 2026, he was awarded an option to buy 15,500 shares of common stock at an exercise price of $24.81 per share, all held directly.
The option vests in equal monthly installments, with 1/12 of the grant vesting on the first day of each month starting February 1, 2026, and the final portion vesting on December 31, 2026, after which it is fully vested and exercisable. The option is subject to early exercise, meaning some or all shares can be purchased before they vest, but any such early-exercised shares will be treated as restricted stock and may be repurchased by the company if Kelliher’s service ends before vesting.
Capricor Therapeutics director Philip J. Gotwals received a stock option grant for 15,500 shares on January 5, 2026. The option has a conversion or exercise price of $24.81 per share and was acquired at a price of $0 as compensation.
The award relates to annual board service and vests in monthly installments. One-twelfth of the option vests on the first day of each month starting February 1, 2026, with the final vesting on December 31, 2026, when it becomes fully exercisable. The option is subject to early exercise, meaning all or part of it can be exercised before vesting, but any such early-exercised shares are treated as restricted stock and may be repurchased by the company if Gotwals’ service ends before they vest.
Capricor Therapeutics director Sabar Karimah Es received a new stock option grant related to annual board service. The grant covers 15,500 stock options with an exercise price of $24.81 per share. The options vest in 12 equal monthly installments, with 1/12 of the award vesting on the first day of each month from February 1, 2026 through December 31, 2026, making the option fully vested by year-end 2026.
The option is subject to early exercise, meaning all or part of it can be exercised before vesting. Any shares purchased early are treated as restricted stock and may be repurchased by the company if the director’s service ends before the relevant vesting dates. After this grant, the director beneficially owns 15,500 derivative securities directly.
Capricor Therapeutics director David B. Musket received a new stock option award for 15,500 shares of common stock. The option has an exercise price of $24.81 per share and was granted on January 5, 2026 for his annual board service.
The option vests in equal 1/12 installments on the first day of each month from February 1, 2026 through December 31, 2026, when it becomes fully vested and exercisable. It is also subject to an early exercise feature, allowing Musket to purchase shares before they vest, but any such early‑exercised shares are treated as restricted stock and can be repurchased by the company if his service ends before vesting is complete.
Capricor Therapeutics director George W. Dunbar Jr. reported receiving a new stock option grant. On 01/05/2026, he was awarded a stock option to buy 15,500 shares of common stock at an exercise price of $24.81 per share. The Form 4 shows this as an acquisition of derivative securities held directly, with 15,500 derivative securities beneficially owned after the transaction.
The option vests in equal monthly installments, with 1/12 of the grant vesting on the first day of each month from February 1, 2026 through December 31, 2026, when it becomes fully vested and exercisable. The award relates to annual board service and is subject to early exercise, meaning all or part of the option may be exercised at any time. If Mr. Dunbar exercises early before vesting, the underlying shares are treated as restricted stock and may be repurchased by the company if his service ends before they vest.
Capricor Therapeutics director Frank Litvack reported a new equity award linked to his board service as Executive Chairman. On January 5, 2026, he received a stock option to buy 50,000 shares of Capricor common stock at an exercise price of $24.81 per share. Following this grant, he beneficially owns 50,000 derivative securities directly.
The option vests over 2026, with 1/12 of the shares vesting on the first day of each month starting February 1, 2026 and the final portion vesting on December 31, 2026, when the award becomes fully vested and exercisable. The option is subject to early exercise, meaning all or part can be exercised at any time; any shares purchased before vesting will be treated as restricted stock and may be repurchased by the company if his service ends before those shares vest.