CAPRICOR THERAPEUTICS, INC. — Director's Dealing 2026

Jan 7, 2026

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CAPRICOR THERAPEUTICS, INC. (CAPR)
CIK: 0001133869
Period of Report: 2026-01-05

Reporting Person: Auwaerter Paul Gisbert (N/A)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2026-01-05	Stock Option (Right to Buy)	$24.81	A	15500	Acquired	2036-01-05	Common Stock (15500)	Direct
2026-01-05	Stock Option (Right to Buy)	$24.81	A	1360	Acquired	2036-01-05	Common Stock (1360)	Direct
2026-01-05	Stock Option (Right to Buy)	$24.81	A	5420	Acquired	2036-01-05	Common Stock (5420)	Direct

Footnotes

F1: The shares vest 1/12th of the first day of each month, commencing February 1, 2026, with the last month vesting on December 31, 2026, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. 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: The shares of the award are fully vested and exercisable as of January 5, 2026, the date of the grant. The award pertains to annual board committee service.

F3: The shares of the award are fully vested and exercisable as of January 5, 2026, the date of the grant. The award pertains to annual board service.