CAPRICOR THERAPEUTICS, INC.
For the period ended Mar 31, 2026. Filed May 13, 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.
Mar 31, 2026 · Filed May 13, 2026
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Item 5. Other Information
Rule 10b5-1 Trading Arrangements
During the three months ended March 31, 2026, none of the directors or executive officers of the Company adopted or terminated any 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”) or any other “non-Rule 10b5-1 trading arrangement”.
We inadvertently omitted the disclosure of a Rule 10b5-1 Plan adopted by Karimah Es Sabar, one of our directors, on December 27, 2025, in Item 9B of Part II of our Annual Report on Form 10-K for the year ended December 31, 2025. The details of this plan are set forth below.
| | | | | | | | | | | |
|---|---|---|---|---|---|---|---|---|---|---|
| Name | | Title | | Action | | Date Adopted or Terminated | | Plan End Date | | Aggregate Shares |
| Karimah Es Sabar | | Board of Director | | Adoption of Rule 10b5-1 trading plan | | 12/27/2025 | | 06/01/2026 | | Up to 122,529 shares |
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