Bergmann Anthony 4

What Happened
Anthony Bergmann, Chief Financial Officer of Capricor Therapeutics (CAPR), exercised 25,000 derivative/share-based rights at $3.18 per share (cash cost $79,500) and, on the same day (2026-03-31), sold 25,000 shares in the open market for total proceeds of $753,153 (weighted average sale price $30.13). The filing also reports a separate 25,000-share derivative disposition recorded at $0.00 on the same date.

Key Details

• Transaction date: 2026-03-31 (Form 4 filed 2026-04-01) — filing appears timely.
• Exercise (code M): 25,000 shares at $3.18; cash paid $79,500.
• Sale (code S): 25,000 shares sold, weighted average price $30.13, total proceeds $753,153; individual sale prices ranged $30.00–$30.32 (F2).
• Derivative disposition: 25,000 shares reported disposed at $0.00 (listed separately).
• Footnotes: sale executed under a Rule 10b5‑1 trading plan adopted Dec 2025 (F1); vesting noted as 1/48th monthly beginning Feb 1, 2022 (F3).
• Shares owned after transaction: not provided in the excerpt.

Context

• The sequence (exercise same day as sale) indicates exercised shares were sold immediately, effectively a cashless-style disposition of those shares.
• The sale was executed under a pre-established 10b5‑1 plan, which is commonly used for routine, pre-planned insider sales and does not by itself indicate discretionary trading based on current company developments.
• The reported $0.00 derivative disposition and the vesting footnote may reflect withholding/surrender or other administrative settlement of vested awards; the filing does not state the specific mechanism.