CAPRICOR THERAPEUTICS, INC.
For the period ended Dec 31, 2025. Filed Mar 17, 2026.
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FY2025 · Filed Mar 17, 2026
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Item 9B. Other Information
Rule 10b5-1 Trading Arrangements
During the fiscal quarter ended December 31, 2025, the following directors and officers adopted or terminated trading arrangements intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Securities Exchange Act of 1934.
| | | | | | | | | | | |
|---|---|---|---|---|---|---|---|---|---|---|
| Name | | Title | | Action | | Date Adopted or Terminated | | Plan End Date | | Aggregate Shares |
| Linda Marban | | Chief Executive Officer | | Adoption of Rule 10b5-1 trading plan | | 12/30/2025 | | 07/31/2026 | | Up to 250,000 shares |
| Anthony J. Bergmann | | Chief Financial Officer | | Adoption of Rule 10b5-1 trading plan | | 12/30/2025 | | 07/31/2026 | | Up to 150,000 shares |
| Karen Krasney | | General Counsel | | Adoption of Rule 10b5-1 trading plan | | 12/30/2025 | | 07/31/2026 | | Up to 100,000 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.
Amendment to Employment Agreements
On March 24, 2025, the Company amended the employment agreements of our named executive officers Linda Marbán, Anthony Bergmann and Karen Krasney to increase the severance period upon termination of employment without cause or resignation for good reason to twelve months from six months.
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