Welcome to our dedicated page for CAPRICOR THERAPEUTICS SEC filings (Ticker: CAPR), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Capricor Therapeutics filings document a Delaware biotechnology issuer developing cell and exosome-based therapeutics, including Deramiocel for Duchenne muscular dystrophy. Its 8-K reports record quarterly and annual financial results, FDA communications tied to the Deramiocel Biologics License Application, Regulation FD disclosures, and material-event reporting for litigation-related actions.
Proxy materials address board elections, executive compensation, equity awards, shareholder voting matters, and other governance disclosures. The filing record also identifies CAPR common stock, par value $0.001 per share, as a Nasdaq-listed security and provides formal disclosure around operating results, capital structure, and public-company status.
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.
Capricor Therapeutics (CAPR) filed its Q3 2025 10‑Q, reporting a net loss of $24.6 million and stating “substantial doubt” about its ability to continue as a going concern. Revenue was $0 in the quarter (vs. $2.3 million a year ago) as prior-period milestone activity did not recur. Operating expenses rose to $26.3 million, led by research and development of $20.4 million and general and administrative of $5.9 million.
Cash and cash equivalents were $19.5 million and marketable securities were $79.1 million, for approximately $98.6 million in total liquid resources at September 30, 2025. Net cash used in operating activities was $46.2 million for the nine months. Stockholders’ equity was $83.9 million, down from $145.5 million at year‑end. The company elected to convert a prior CIRM award into a loan; the principal was about $3.4 million as of quarter‑end.
CAPR established a new at‑the‑market facility of up to $150 million in September 2025; no shares had been sold under this program as of the report date. Weighted-average basic and diluted shares were 45.7 million, and 45,718,475 shares were outstanding as of November 7, 2025.
Capricor Therapeutics (CAPR) furnished an 8‑K announcing it issued a press release with financial results for the quarter ended September 30, 2025. The press release is attached as Exhibit 99.1.
The information under Item 2.02 and Exhibit 99.1 is being furnished and shall not be deemed filed for purposes of Section 18 of the Exchange Act, nor incorporated by reference into other filings unless expressly stated.
Capricor Therapeutics filed an S-3 shelf registration that authorizes the potential offering, issuance and sale of up to $300,000,000 of various securities and, separately under an equity distribution agreement with Piper Sandler & Co. and Oppenheimer & Co. Inc., up to $150,000,000 of common stock to be sold from time to time.
The prospectus details the types of securities that may be issued, material terms that will be set when series are declared (including debt maturity, interest, security, conversion and events of default), and describes numerous company risks such as the need for additional capital, clinical and regulatory uncertainties for its drug candidates (including deramiocel/CAP-1002), manufacturing and supply risks, potential dilution from outstanding warrants and options, and other operational and market risks.
Capricor Therapeutics, Inc. (CAPR) reported total assets of $133.6 million and held approximately $122.8 million in combined cash, cash equivalents and marketable securities as of June 30, 2025. Marketable securities declined to $99.56 million from $140.23 million at year-end 2024 while cash and cash equivalents increased to $23.24 million from $11.29 million. Total stockholders' equity was $104.98 million and the accumulated deficit grew to approximately $250.1 million.
The company recorded a net loss of $25.9 million for the three months ended June 30, 2025 and $50.3 million for the six months ended June 30, 2025, driven by higher research and development expense ($22.0 million in the quarter; $41.0 million for six months) and increased general and administrative costs. The filing discloses conversion of a CIRM grant to a proposed loan with potential accrued interest up to about $7.1 million and notes recent securities and derivative lawsuits filed in July and August 2025. The company states it will require substantial additional capital to fund operations and may seek equity, debt, partnerships, or government grants.
Capricor Therapeutics furnished a press release announcing its financial results for the quarter ended June 30, 2025; the press release is attached as Exhibit 99.1. The company states the release is being furnished, not filed, and therefore is not subject to Section 18 liability and will not be incorporated by reference into other Exchange Act filings unless expressly stated. The filing also includes a Cover Page Interactive Data File (inline XBRL) as Exhibit 104. The report identifies Capricor common stock trading as CAPR on The Nasdaq Capital Market and is signed by CEO Linda Marbán, Ph.D.. Investors should review Exhibit 99.1 for the detailed financial figures because the 8-K text here provides only the notice of the release.