Bergmann Anthony 4

What Happened

• Anthony Bergmann, Chief Financial Officer of Capricor Therapeutics (CAPR), exercised 3,000 stock options on May 18, 2026. He paid the option exercise price of $1.39 per share, a total cash outlay of $4,170, and acquired 3,000 common shares. The filing also shows the corresponding derivative (the options) was converted/terminated as part of the exercise (reported as a $0.00 disposal of the derivative).

Key Details

• Transaction date: 2026-05-18 (reported on Form 4 filed 2026-05-19) — appears timely (Form 4 filed the next business day).
• Exercise price and cost: $1.39 per share; total paid $4,170 for 3,000 shares.
• Reported disposition: 3,000 derivative units (the options) were converted/terminated (reported at $0.00).
• Shares owned after transaction: not specified in the provided filing excerpt.
• Footnotes: F1 — option granted June 2, 2016; adjusted for a 1-for-10 reverse split (June 4, 2019) and repriced to $1.39 on Feb 12, 2020. F2 — vesting occurred 1/48th each month starting July 1, 2016.

Context

• This was an option exercise (transaction code M). There is no separate sale reported, so it appears Bergmann acquired and retained the 3,000 shares rather than immediately selling them (i.e., not a cashless sale). Exercises are a cash outlay by the insider and are generally treated as an acquisition of shares rather than a signal of selling pressure.