CAPRICOR THERAPEUTICS, INC.

Filing Date

Jan 7, 2026

Transaction Date

Jan 5, 2026

Accession Number

0001593084-26-000002

Form Type

4

Footnotes

1. (F1)The shares vest 1/48th of the first day of each month, commencing February 1, 2026, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.
2. (F2)These shares of the award vest and become exercisable on the date of U.S. Food and Drug Administration approval of Deramiocel. Vesting is subject to the Reporting Person's continued service to the Issuer through the vesting date.
3. (F3)Each restricted stock unit represents the right to receive, upon vesting, one share of the Issuer's common stock in accordance with the Issuer's 2025 Equity Incentive Plan.
4. (F4)The restricted stock units were granted on January 5, 2026 as part of the Issuer's annual equity grant to executive officers. The restricted stock units granted on January 5, 2026 vest annually at a rate of 25% commencing on February 1, 2027. Vesting is subject to the Reporting Person's continued service to the Issuer through the vesting date.