Form 4: Capricor Therapeutics CFO Sells Shares

Capricor Therapeutics' Chief Financial Officer, Anthony Bergmann, has sold a significant number of company shares through a pre-arranged trading plan.

Summary

• Anthony Bergmann, Chief Financial Officer of Capricor Therapeutics, Inc., reported the sale of 24,100 shares of common stock on June 25, 2026.
• The sale was executed as part of a Rule 10b5-1 trading plan established in December 2025.
• The weighted average sale price was $30.38 per share, with individual transactions ranging from $30.00 to $30.88.
• Following the sale, Bergmann beneficially owns 11,223 shares of common stock directly.

Sentiment

Score: 4

Explanation: StockSavvy.ai views this as a slightly negative development due to the significant sale by a key executive, despite being executed under a standard trading plan.

Negatives

• The Chief Financial Officer sold a substantial number of shares, which could be perceived negatively by the market.
• The sale occurred at a price significantly higher than the acquisition price of the related stock options ($3.18).

Risks

• The sale of shares by a key executive could signal a lack of confidence in the company's near-term prospects, potentially impacting investor sentiment.
• The execution of a 10b5-1 plan, while a standard practice for executives, can still lead to negative market interpretation if the volume or timing is significant.

Future Outlook

The filing does not contain forward-looking statements or guidance. It solely reports on past transactions.

Management Comments

• Shares were sold pursuant to a 10b5-1 trading plan adopted in December 2025 by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
• The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.88, inclusive.
• Shares vested 1/48th on the first day of each month commencing February 1, 2022.

Industry Context

StockSavvy.ai notes that insider selling, particularly by a CFO, is a common event and often executed under pre-planned 10b5-1 trading plans to avoid accusations of insider trading. However, the market often reacts to such sales, especially if the volume is significant or if the company is facing specific challenges or opportunities.

Stakeholder Impact

• Shareholders may view the CFO's sale as a negative signal, potentially leading to short-term stock price pressure.
• Employees with stock options or grants may be concerned about the executive's decision to sell shares.
• Creditors and suppliers are unlikely to be directly impacted by this transaction.

Key Dates

Recommendation

The filing reports an insider sale by the CFO under a 10b5-1 plan. While insider selling can be a negative signal, the execution via a pre-arranged plan mitigates concerns about insider trading. The transaction itself does not provide new fundamental information about the company's operations or future prospects, thus a 'hold' recommendation is appropriate pending further developments.

Keywords

Capricor Therapeutics, CAPR, Form 4, Insider Trading, Stock Sale, Anthony Bergmann, CFO, 10b5-1 plan, Beneficial Ownership