CAPRICOR THERAPEUTICS, INC.
For the period ended Jun 30, 2026. Filed Aug 14, 2026.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Jun 30, 2026 · Filed Aug 14, 2026
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Item 5. Other Information
Rule 10b5-1 Trading Arrangements
During the three months ended June 30, 2026, the following director of the Company adopted or terminated contracts, instructions, or written plans for the purchase or sale of the Company’s securities that were intended to meet the affirmative defense conditions of Rule 10b5-1(c) (“Rule 10b5-1 Plan”) under the Securities Exchange Act of 1934.
| | | | | | | | | | | |
|---|---|---|---|---|---|---|---|---|---|---|
| Name | | Title | | Action | | Date Adopted or Terminated | | Plan End Date | | Aggregate Shares |
| George Dunbar | | Board of Director | | Adoption of Rule 10b5-1 trading plan | | 05/18/2026 | | 12/15/2026 | | Up to 93,656 shares |
| Philip Gotwals | | Board of Director | | Adoption of Rule 10b5-1 trading plan | | 05/18/2026 | | 12/10/2026 | | Up to 50,000 shares |
| David Musket | | Board of Director | | Adoption of Rule 10b5-1 trading plan | | 05/18/2026 | | 05/15/2027 | | Up to 24,170 shares |
| Frank Litvack | | Board of Director | | Adoption of Rule 10b5-1 trading plan | | 05/18/2026 | | 07/31/2027 | | Up to 195,000 shares |
| Karimah Es Sabar | | Board of Director | | Adoption of Rule 10b5-1 trading plan | | 05/18/2026 | | 01/31/2027 | | Up to 80,000 shares |
The trading arrangements permit transactions in the Company’s common stock in accordance with Rule 10b5-1(c) and applicable company policies regarding insider trading.
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