Bergmann Anthony 4

What Happened
Anthony Bergmann, Chief Financial Officer of Capricor Therapeutics, exercised 24,100 options (reporting code M) at $3.18 per share (cost $76,638) and immediately sold the 24,100 acquired shares in the open market (reporting code S) on June 25, 2026. The shares were sold at a weighted-average price of $30.38, generating gross proceeds of approximately $732,158. The exercise-and-sell was essentially a same-day conversion and sale of option-held shares.

Key Details

• Transaction date: June 25, 2026. Filing date: June 29, 2026 (filed within the Form 4 two-business-day window).
• Exercise: 24,100 shares at $3.18 each — total cost $76,638.
• Sale: 24,100 shares at weighted-average $30.38 — gross proceeds ~$732,158 (sales executed in multiple trades at $30.00–$30.88).
• Net proceeds before fees/taxes: roughly $732,158 − $76,638 ≈ $655,520.
• Shares owned after transaction: not stated in the provided filing excerpt.
• Footnotes: sale executed pursuant to a 10b5-1 trading plan adopted Dec 2025; vesting occurred monthly (1/48th starting Feb 1, 2022); weighted-average sale price reported due to multiple trades.

Context
This was an option exercise followed by an immediate open-market sale (often done to cover exercise cost/taxes). The use of a pre-established 10b5-1 plan indicates the sales were scheduled under a trading plan rather than an ad hoc trade decision. The filing includes a derivative conversion entry (reported at $0.00) reflecting the conversion of the option/derivative into shares prior to the sale.