Anthony Bergmann - 05 Jan 2026 Form 4 Insider Report for CAPRICOR THERAPEUTICS, INC. (CAPR)

Role: CHIEF FINANCIAL OFFICER
Signature: /s/ Linda Marban, Attorney-in-Fact
Issuer symbol: CAPR
Transactions as of: 05 Jan 2026
Net transactions value: $0
Form type: 4
Filing time: 07 Jan 2026, 16:45:26 UTC
Previous filing: 04 Mar 2025
SEC: View on sec.gov

Reporting Owners (1)

Name	Relationship	Address	Signature	Signature date	CIK
Bergmann Anthony	CHIEF FINANCIAL OFFICER	C/O CAPRICOR THERAPEUTICS, INC., 10865 ROAD TO THE CURE, SUITE 150, SAN DIEGO	/s/ Linda Marban, Attorney-in-Fact	07 Jan 2026	0001593087

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	CAPR	Stock Option (Right to Buy)	Award	$0	+25,000		$0.000000	25,000	05 Jan 2026	Common Stock	25,000	$24.81	Direct	F1
transaction	CAPR	Stock Option (Right to Buy)	Award	$0	+25,000		$0.000000	25,000	05 Jan 2026	Common Stock	25,000	$24.81	Direct	F2
transaction	CAPR	Restricted Stock Units	Award	$0	+2,500		$0.000000	2,500	05 Jan 2026	Common Stock	2,500		Direct	F3, F4

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	The shares vest 1/48th of the first day of each month, commencing February 1, 2026, until the stock option becomes fully vested and exercisable. 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.
F2	These shares of the award vest and become exercisable on the date of U.S. Food and Drug Administration approval of Deramiocel. Vesting is subject to the Reporting Person's continued service to the Issuer through the vesting date.
F3	Each restricted stock unit represents the right to receive, upon vesting, one share of the Issuer's common stock in accordance with the Issuer's 2025 Equity Incentive Plan.
F4	The restricted stock units were granted on January 5, 2026 as part of the Issuer's annual equity grant to executive officers. The restricted stock units granted on January 5, 2026 vest annually at a rate of 25% commencing on February 1, 2027. Vesting is subject to the Reporting Person's continued service to the Issuer through the vesting date.